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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2011-05-31 |
| TX | RA | APPROVED_RES | 2011-05-27 |
Branch Locations
Rsa Battle House Tower 11 North Water St., Suite 16290, Mobile, AL 36602 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Mobile | AL | 05/2011 | Present |
Mary Kay; Not investment related; Mobile, AL; Private company; Independent contractor; Start date:01/2003; During business hours: 0 *421858 - Power of Attorney; Investment related Yes; Lewiston, ID; Jan 2021; During business hours: 1; After business hours: 02. *539064 - POA; Investment related: Yes; Lewiston, Idaho; POA; 01/2023; During business hours: 1; After business hours: 4; *688629- CaringTide; Investment related: No; West Jordan, Utah; Consulting; Other Special Needs Consultant (proprietor, partner, officer, director, employee, trustee, agent); 06/2026; During business hours: 0; After business hours: 15; Assist CaringTide in building the infrastructure to serve families who have a loved one with a disability
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-28 |
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