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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2023-06-15 |
| TX | RA | APPROVED | 2023-06-15 |
Branch Locations
100 Middle Street 3Rd Floor, Portland, ME 04101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Portland | ME | 01/2009 | 06/2023 |
| Morgan Stanley Smith Barney Llc | Portland | ME | 06/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 06/2023 | Present |
*559295 - Gulf of Maine Research Institute; Investment related: No; Portland, Maine; Environmental; Board Member, Strategic Gift Committee (proprietor, partner, officer, director, employee, trustee, agent); 09/2021; During business hours: 4; After business hours: 4; Fundraising *707008- Jewish Community Fund of Maine; Investment related No; Portland, Maine; Civic/Community; Investment Committee (proprietor, partner, officer, director, employee, trustee, agent); 08/2026; During business hours: 0; After business hours: 5; Investment Decisions/Advice
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-10-21 |
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