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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-02-20 |
| KY | RA | APPROVED | 2009-06-01 |
Branch Locations
4969 Us Highway 42 Suite 1200, Louisville, KY 40222 • United States
444 East Main Street Suite 111, Lexington, KY 40507 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Louisville | KY | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
*331627- Assumption High School Investment Committee; Investment related: No; Louisville, Kentucky; Education; Investment Committee (proprietor, partner, officer, director, employee, trustee, agent); 11/2017; During business hours: 1; After business hours: 2; Administrative (2) 305161- Kids Cancer Alliance/ Not Investment Related / Louisville, KY / Children, Youth / Investment Committee / 01-January-2018 / During business hours: 2 / After business hours: 0 / Administrative. (3) 565928 - St. Xavier High School / Not Investment Related / Louisville, KY / Education / Board Member / Start 15-August-2023 / During business hours: 1 / After business hours: 5 / Operations Committee. (4) 609801 - Archdiocese of Louisville / Not Investment Related / Louisville, KY / Religious / Advisory Board / Start 25-June-2024 / During business hours: 0 / After business hours: 5 / Investment Decisions and Advice.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 1993-03-31 |
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