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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2020-12-04 |
| TX | RA | APPROVED | 2020-12-04 |
Branch Locations
35 Village Road Suite 601, Middleton, MA 01949 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Peabody | MA | 01/2009 | 12/2020 |
| Morgan Stanley Smith Barney Llc | Middleton | MA | 12/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 12/2020 | Present |
*534146 - Middleton Mens Softball; Investment related: No; Middleton, Massachusetts; Recreation; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 05/2021; During business hours: 0; After business hours: 1; Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-10 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-17 |
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