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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-09-15 |
| TX | RA | APPROVED_RES | 2023-05-01 |
| NJ | RA | APPROVED | 2023-04-28 |
Branch Locations
2150 Highway 35 Suite 200, Sea Girt, NJ 08750 • United States
832 Lake Sumter Landing, The Villages, FL 32162 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Red Bank | NJ | 03/2001 | 04/2023 |
| Morgan Stanley Smith Barney Llc | The Villages | FL | 04/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 06/2023 | Present |
*611746- Whoa Joe LLC; Investment related: Yes; The Villages, Florida; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 10/2024; During business hours: 1; After business hours: 3; Administrative, Accounting/Bookkeeping, Property Management
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-09-06 |
| S63 | Uniform Securities Agent State Law Examination | 1995-01-05 |
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