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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-02-20 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
225 West Santa Clara Street Suite 900, San Jose, CA 95113 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | San Jose | CA | 07/1993 | Present |
| Morgan Stanley Smith Barney | San Jose | CA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. Filice Family Estates; Investment related; California; Family real estate; Employee (proprietor, partner, officer, director, employee, trustee, agent); Nov 2017; During business hours: 0; After business hours: 0 2. *420444 - Rental Property; Investment related -Yes; Campbell, California; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 11/2020; During business hours: 0; After business hours: 0; Property Management 4.*533231 - Power of Attorney; Investment related Yes; Watsonville, California; 01/2023 ; During business hours: 1; After business hours: 0.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1992-11-30 |
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