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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2022-02-17 |
| NY | RA | APPROVED | 2021-06-16 |
| CT | RA | APPROVED | 2021-02-19 |
| TX | RA | APPROVED | 2021-02-19 |
Branch Locations
55 East 52Nd Street 28Th Floor, New York, NY 10055 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Inc. | New York | NY | 12/2011 | 02/2021 |
| Bank Of America, N.A. | New York | NY | 01/2012 | 02/2021 |
| Morgan Stanley Smith Barney Llc | New York | NY | 02/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 03/2021 | Present |
*588816 - Nasdaq - Dorsey Wright; Investment Related - No; New York, New York; Investment/Finance/Banking; Advisory Board (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 12/2023; During Business Hours: 1; After Business Hours: 0; Feedback on the platform
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-09-08 |
| S63 | Uniform Securities Agent State Law Examination | 2007-02-12 |
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