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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-02-20 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
1999 Harrison Street Suite 2200, Oakland, CA 94612 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Berkeley | CA | 09/2004 | Present |
| Morgan Stanley Smith Barney | Berkeley | CA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*432882 â?" Blue Alliance.; Investment related No; USAFA, CO; Non-Profit,; Board Member (proprietor, partner, officer, director, employee, trustee, agent); Jan 2014; During business hours: 0; After business hours: 5; Administrative, Check Signing/Funds Disbursements.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 2004-11-24 |
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