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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-03-15 |
| VT | RA | APPROVED | 2024-03-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | St. Louis | MO | 12/2015 | 03/2024 |
| Morgan Stanley Smith Barney Llc | Rutland | VT | 03/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 04/2024 | Present |
* 588282 - Town of Manchester VT Select Board; Investment Related: No; Manchester Center, Vermont; Government; Board Member (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 08/2020; During Business Hours: 0; After Business Hours: 6; Administrative, Labor or Service, Budget, contract negotiations, infrastructure decisions, capital improvements, planning and application approvals.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-06-21 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-07 |
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