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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-02-12 |
| WV | RA | APPROVED | 2009-06-01 |
Branch Locations
500 Lee Street East Laidley Tower Suite 300, Charleston, WV 25339 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Charleston | WV | 03/1995 | Present |
| Morgan Stanley Smith Barney | Charleston | WV | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*595640 - UNIVERSITY OF CHARLESTON; Investment Related - No; CHARLESTON, West Virginia; Education; sales advisory council memeber (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 09/2024; During Business Hours: 2; After Business Hours: ; Sales/Marketing.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 1995-05-18 |
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