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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 |
| CA | RA | APPROVED | 2012-01-06 |
Branch Locations
401 Fremont Street Suite 200, Monterey, CA 93940 • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Monterey | CA | 01/2012 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*592151- The Pacheco Club of Monterey; Investment related -No; Monterey, California; Social and Heath Club; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 07/2024; During business hours: 0; After business hours: 5; General Board activity without investment oversight *610917 - Grand Lodge of Free and Accepted Masons of the State of California; Investment related -No; San Francisco, California; Fraternal Society; Investment Committee (proprietor, partner, officer, director, employee, trustee, agent); 10/2024; During business hours: 0; After business hours: 4; oversight of outside 3rd party money managers
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 1992-05-08 |
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