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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-12-14 |
| RI | RA | APPROVED | 2009-06-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Newport | RI | 01/2004 | Present |
| Morgan Stanley Smith Barney | Newport | RI | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
NEWPORT FLAG COMPANY, CO-OWNER; CUSTOM FLAG MAKING; START DATE: 08/2016; DURING BUSINESS HOURS- 0, AFTER BUSINESS HOURS- 2; NOT INVESTMENT RELATED; NEWPORT, RI
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1992-06-24 |
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