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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2022-07-27 |
| AL | RA | APPROVED | 2020-09-18 |
| TX | RA | APPROVED | 2020-09-18 |
Branch Locations
201 South Court Street 4Th Floor, Florence, AL 35630 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Florence | AL | 04/2009 | 09/2020 |
| Bank Of America, N.A. | Florence | AL | 05/2011 | 09/2020 |
| Morgan Stanley Smith Barney Llc | Florence | AL | 09/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2020 | Present |
1. *417723 - Single Lock Records; Investment related - Yes; Florence, Alabama; Art/Culture; Partner (proprietor, partner, officer, director, employee, trustee, agent); 01/2012; During business hours: 0; After business hours: 5; Investment Decisions/Advice *513536 - The Hundred Club of the Shoals; Investment related: No; Florence, Alabama; Non-Profit, Charitable; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 08/2022; During business hours: 0; After business hours: 1; Administrative I*90481 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: PCA FOUNDATION INVESTMENT RELATED: Y ADDRESS OF BUSINESS: LAWRENCEVILLE, GEORGIA 30043 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 1/1/2016 NUMBER OF HOURS DEVOTED: 10 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: COMMITTEE MEMBER FOR THE PCA FOUNDATION INVESTMENTS *462159 - Savas; Investment related No; Nashville, Tennessee; Retail/Online Stores; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 12/2021; During business hours: 2; After business hours: 4; Administrative
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-07-29 |
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