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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-15 |
| FL | RA | APPROVED | 2021-05-17 |
Branch Locations
8889 Pelican Bay Boulevard Suite 300, Naples, FL 34108 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Atlanta | GA | 11/2008 | 05/2017 |
| Wells Fargo Clearing Services, Llc | Atlanta | GA | 05/2017 | 05/2021 |
| Morgan Stanley Smith Barney Llc | Naples | FL | 05/2021 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 05/2021 | Present |
*558569 - Moorings Park-Unidine Corporation ; Investment related - No ; Naples, Florida ; Restaurant/Bar/Nightclub ; Employee(proprietor, partner, officer, director, employee, trustee, agent) ; 10/2022 ; During business hours : 0 ; After business hours : 15 ; Labor/Service *576706- Junk Kings; Investment related: No; Naples, Florida; Automotive/Transportation, Construction/Engineering; Employee (proprietor, partner, officer, director, employee, trustee, agent); 12/2023; During business hours: 0; After business hours: 60; Business Development/Growth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-07-18 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-03 |
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