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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-04-26 |
| WA | RA | APPROVED | 2017-04-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Federal Way | WA | 04/1994 | 04/2017 |
| Morgan Stanley Smith Barney Llc | Tacoma | WA | 04/2017 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 05/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-03 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-29 |
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