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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-08 |
| CT | RA | APPROVED | 2009-06-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Madison | CT | 06/2009 | Present |
*312693- Wallingford Rod and Gun Club; Investment related: No; Wallingford, Connecticut; Recreation; Treasurer(proprietor, partner, officer, director, employee, trustee, agent); 06/2017; During business hours: 0; After business hours: 15; Check Signing/Funds Disbursements
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 1999-05-12 |
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