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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-08-19 |
| CA | RA | APPROVED | 2019-10-10 |
Branch Locations
520 West Main Street, Unit 201, Visalia, CA 93291 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Fresno | CA | 07/2008 | 10/2019 |
| Morgan Stanley Smith Barney Llc | Visalia | CA | 10/2019 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 11/2019 | Present |
*643177- Real Estate; Investment related: Yes; Fresno, California; Real Estate; Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent); 06/2025; During business hours: 0; After business hours: 0; Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-27 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-22 |
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