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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-02-11 |
| CA | RA | APPROVED | 2012-03-07 |
| IL | RA | APPROVED | 2012-01-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bancplus | West Dundee | IL | 01/2003 | Present |
| Morgan Stanley Smith Barney | Chicago | IL | 12/2011 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*460803- Carey School Corporation; Investment related No; San Mateo, California; Education; Board Member, Finance Committee, Other Committee (proprietor, partner, officer, director, employee, trustee, agent); 05/2021; During business hours: 0; After business hours: 5; Business Development/Growth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-10-13 |
| S63 | Uniform Securities Agent State Law Examination | 2009-03-28 |
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