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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-09-29 |
| TX | RA | APPROVED | 2022-09-29 |
Branch Locations
111 South Pfingsten Road Suite 200, Deerfield, IL 60015 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Northbrook | IL | 01/2012 | 09/2022 |
| Morgan Stanley Smith Barney Llc | Deerfield | IL | 09/2022 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2022 | Present |
*605130 - St. Patrick High School; Investment related: No; Chicago, Illinois; Education; Finance Committee (proprietor, partner, officer, director, employee, trustee, agent); 09/2024; During business hours: 0; After business hours: 1; Investment Decisions/Advice
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-04-10 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-04 |
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