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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2020-09-23 |
| TX | RA | APPROVED | 2010-10-19 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Prescott | AZ | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*406707 - TMC Lakeside Property LLC; Investment related Yes; Prescott, AZ; Real Estate; Partner (proprietor, partner, officer, director, employee, trustee, agent); Sept 2020; During business hours: 1; After business hours: 1; Property Management *543380- Kissel Five LLC; Investment related-Yes; Prescott, Arizona; Technology, Biotechnology; Investor, Investment Committee (proprietor, partner, officer, director, employee, trustee, agent); 04/2023; During business hours: 5; After business hours: 15; Accounting/Bookkeeping, Investment Decisions/Advice
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-01-25 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-07 |
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