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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-06-11 |
| IL | RA | APPROVED | 2009-06-01 |
Branch Locations
111 South Pfingsten Road Suite 200, Deerfield, IL 60015 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Deerfield | IL | 04/1995 | Present |
| Morgan Stanley Smith Barney | Deerfield | IL | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. COLLEGE OF LAKE COUNTY FOUNDATION; ILLINOIS; REVIEW ADVICE GIVEN BY PROVIDER; SITS ON A NUMBER OF COMMITTEES AS THE EXECUTIVE BOARD MEMBER (PAST - PRESIDENT, PRESIDENT); AS EX-OFFICIO OF FINANCE COMMITTEE I EDUCATE AS TO WHAT A BOND INVESTMENT ENTAILS; 2 HOURS AFTER BUSINESS; 1 DURING BUSINESS; ON THE BOARD SINCE 1998;*** 2. COLLEGE OF LAKE COUNTY FOUNDATION SUBCOMMITEES I AM ON ARE FINANCE COMMITTEE AND STRATEGIC PLANNING COMMITEE; ILLINOIS; SITS ON A NUMBER OF COMMITTEES AS THE EXECUTIVE BOARD MEMBER (PAST - PRESIDENT, PRESIDENT); AS EX-OFFICIO REQUIRED TO BE PRESENT AT VARIOUS SUB COMMITTEES; 2 HOURS AFTER BUSINESS; 1 DURING BUSINESS; ON THE BOARD SINCE 1998;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-08-28 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-28 |
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