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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2026-05-21 |
| TX | RA | APPROVED_RES | 2023-04-14 |
| CA | RA | APPROVED | 2023-04-13 |
Branch Locations
5390 Kietzke Lane Suite 200, Reno, NV 89511 • United States
1333 North California Boulevard Suite 133, Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Walnut Creek | CA | 11/2003 | 04/2023 |
| Morgan Stanley Smith Barney Llc | Reno | NV | 04/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 05/2023 | Present |
*550632 - Diablo Regional Arts Association; Investment related No; Walnut Creek, California; Art/Culture; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 06/2002 ; During business hours: 0; After business hours: 5; Business Development/Growth.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-16 |
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