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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-01-09 |
| AL | RA | APPROVED | 2009-06-01 |
Branch Locations
Rsa Battle House Tower 11 North Water St., Suite 16290, Mobile, AL 36602 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Mobile | AL | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
*546263 - Dial Street Band; Investment related No; Mobile, Alabama; Recreation; Guitar player (proprietor, partner, officer, director, employee, trustee, agent); 03/2023 ; During business hours: 0; After business hours: 6; Play guitar.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-23 |
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