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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-06-22 |
| ID | RA | APPROVED | 2014-10-27 |
| WA | RA | APPROVED | 2009-06-01 |
Branch Locations
4000 Carillon Point Suite 600, Kirkland, WA 98033 • United States
505 East Front Avenue Suite 201, Coeur D'ALene, ID 83814 • 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 Llc | Kirkland | WA | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
| Morgan Stanley Smith Barney Llc | Coeur D'ALene | ID | 10/2014 | Present |
1. Publishing royalties; Not Investment related; Woodinville, WA; Occasional royalties from past books; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); Nov 1998; During business hours: 0; After business hours: 10; Owner *414666 - Igen Corporation; Investment related No; Moscow, ID; Automotive/Transportation, Publishing; Owner (proprietor, partner, officer, director, employee, trustee, agent); Feb 2021; During business hours: 0; After business hours: 1; Business Development/Growth.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-13 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-25 |
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