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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2026-07-10 |
| IN | RA | APPROVED | 2012-04-03 |
| TX | RA | APPROVED | 2012-04-03 |
Branch Locations
800 East 96Th Street Suite 400, Indianapolis, IN 46240 • United States
Scottsdale, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Indianapolis | IN | 04/2012 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. DUFFY ASSOCIATES LLC; INDIANAPOLIS, IN; COLLECT RENT, FILE TAXES; 1 HOUR PER WEEK; 0 DURING SECURITIES HOURS; PASSIVE REAL ESTATE HOLDING COMPANY; HOME BASED** *576142 - Indiana High School Lacrosse Association; Investment Related - No; Indiana; Recreation; Board Member, President of the Board (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 11/2023; During Business Hours: 0; After Business Hours: 2; Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-12-03 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-19 |
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