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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-15 |
| NC | RA | APPROVED | 2009-06-01 |
Branch Locations
1111 Military Cutoff Road, Wilmington, NC 28405 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Wilmington | NC | 01/1998 | Present |
| Morgan Stanley Smith Barney | Wilmington | NC | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1.Blakes Bridge LLC; Investment related Yes; Wilmington, NC; Real Estate Holding; Owner (proprietor, partner, officer, director, employee, trustee, agent); Jan 2018; During business hours: 0; After business hours: 1.0 2. 5 & Chestnut , LLC; Investment related Yes; Pinehurst, NC; Hold Property; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); Jan 2019; During business hours: Nil; After business hours: 1; Handle maintenance property 3. *559316 - New Hanover County ABC board ; Investment related - No ; Wilmington, North Carolina ; Government ; Board Member(proprietor, partner, officer, director, employee, trustee, agent) ; 7/2023 ; During business hours : 3 ; After business hours : 0 ; Labor or Service *601285 - Cape Fear Community College; Investment related: No; Wilmington, North Carolina; Education; Board Member(proprietor, partner, officer, director, employee, trustee, agent); 7/2024; During business hours: 1; After business hours: 4; Set/ approve pollicy for the college
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-09-10 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-09 |
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