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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-08-28 |
Branch Locations
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. | Houston | TX | 11/2013 | 08/2020 |
| Morgan Stanley Smith Barney Llc | Houston | TX | 08/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2020 | Present |
*410074 - Four Horsemen Ranch LLC; Investment related - Yes; San Antonio, Texas; Agriculture; Partner (proprietor, partner, officer, director, employee, trustee, agent); 04/2013; During business hours: 0; After business hours: 8; *663467- University of Kansas Business School; Investment related: No; Lawrence, Kansas; Public Schools; Advisory Board Member (proprietor, partner, officer, director, employee, trustee, agent); 10/2025; During business hours: 0; After business hours: 1; Advise Business School on new CFP program
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-07-24 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-17 |
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