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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2022-11-21 |
Branch Locations
100 Middle Street 3Rd Floor, Portland, ME 04101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Portland | ME | 08/2003 | 11/2022 |
| Morgan Stanley Smith Barney Llc | Portland | ME | 11/2022 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-13 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-27 |
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