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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2020-10-23 |
| TX | RA | APPROVED | 2020-10-23 |
Branch Locations
4969 Us Highway 42 Suite 1200, Louisville, KY 40222 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Louisville | KY | 10/1994 | 10/2020 |
| Bank Of America, N.A. | Louisville | KY | 09/2009 | 10/2020 |
| Morgan Stanley Smith Barney Llc | Louisville | KY | 10/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 11/2020 | Present |
* 447073 - Estate ; Investment related Yes; Prospect, Kentucky; Estate ; Executor/Co-Executor; 08/2021; During business hours: 5; After business hours: 5; * 447057 - Trust ; Investment related Yes; Prospect, Kentucky; Trust ; Trustee/Co-Trustee; 07/2021; During business hours: 5; After business hours: 5; *667042- Wine Country Women; Investment related: No; Louisville, Kentucky; Publishing, Recreation; Advisory Board (proprietor, partner, officer, director, employee, trustee, agent); 01/2026; During business hours: 1; After business hours: 0; Business Development/Growth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-01-26 |
| S63 | Uniform Securities Agent State Law Examination | 1995-01-11 |
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