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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-02-24 |
| MT | RA | APPROVED | 2019-08-20 |
| WA | RA | APPROVED | 2010-03-31 |
Branch Locations
4800 Meadows Road Suite 400, Lake Oswego, OR 97035 • United States
4000 Carillon Point Suite 600, Kirkland, WA 98033 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Kirkland | WA | 02/2010 | Present |
*57917- FINRA Continuing Education Committee; Investment related: No; Washington, District of Columbia; Education; Continuing Education Committee (proprietor, partner, officer, director, employee, trustee, agent); 01/2005; During business hours: 5; After business hours: 0;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-02-20 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-28 |
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