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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-09-15 |
Branch Locations
100 Wilshire Boulevard Suite 1900, Santa Monica, CA 90401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Db National Trust Company | Los Angeles | CA | 06/2013 | 08/2017 |
| Deutsch Bank Securities Inc | Los Angeles | CA | 08/2013 | 08/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 08/2017 | 09/2023 |
| Morgan Stanley Smith Barney Llc | Santa Monica | CA | 09/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2023 | Present |
*615687 - Capstone Group International LLC; Investment related: Yes; Santa Monica, California; Wholesale/Distribution; Partner (proprietor, partner, officer, director, employee, trustee, agent); 1/2025; During business hours: 0; After business hours: 1; Investor
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-07-26 |
| S65 | Uniform Investment Adviser Law Examination | 1997-12-12 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-14 |
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