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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2012-05-11 |
| TX | RA | APPROVED_RES | 2012-05-09 |
Branch Locations
4969 Us Highway 42 Suite 1200, Louisville, KY 40222 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Louisville | KY | 05/2012 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
1. COLLEGE BASKETBALL OFFICIAL; NON INVESTMENT RELATELD; NO PHYSICAL ADDRESS; INDEPENDENT CONTRACTOR; NOV-MAR 10 HOURS PER WEEK; 0 DURING SECURITIES TRADING HOURS;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-09 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-02 |
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