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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2026-07-15 |
| OH | RA | APPROVED | 2022-05-10 |
| TX | RA | APPROVED_RES | 2022-04-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Akron | OH | 11/2010 | 04/2022 |
| Morgan Stanley Smith Barney Llc | Columbia | MD | 04/2022 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 05/2022 | Present |
University of Akron Barker Center for Economic Education; University of Akron, Suite 401, Zook Hall; No; Educational Establishment; Start Date 05/15/2019; No; No *533606 -DCM Capital LLC; Investment related: Yes; Richfield, Ohio; Real Estate; Member (proprietor, partner, officer, director, employee, trustee, agent); 01/2023; During business hours: 0; After business hours: 5; Check Signing/Funds Disbursements, Property Management
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-11-27 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-28 |
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