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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-03-15 |
| NM | RA | APPROVED | 2022-01-17 |
Branch Locations
150 Washington Avenue Suite 301, Santa Fe, NM 87501 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Santa Fe | NM | 09/2014 | 08/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Fe | NM | 08/2017 | 01/2022 |
| Bank Of America, N.A. | Santa Fe | NM | 08/2017 | 01/2022 |
| Morgan Stanley Smith Barney Llc | Santa Fe | NM | 01/2022 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 03/2022 | Present |
the name of the other business; Santa Fe Symphony whether the business is investment-related; no the address of the other business; 301 Griffin St. Santa Fe, NM 87501 the nature of the other business; non-profit symphony orchestra & chorus your position; Board of Directors title, or relationship with the other business; volunteer the start date of your relationship; June 2021 the approximate number of hours/month you devote to the other business; 4 the number of hours you devote to the other business during securities trading hours; 0 and briefly describe your duties relating to the other business; the board of directors is responsible for supporting the mission of the symphony and assisting with development and programming the name of the other business; Museum of New Mexico Foundation whether the business is investment-related; no the address of the other business; 1411 Paseo de Peralta, Santa Fe, NM 87501 the nature of the other business; supports the NM museum system your position; Chair of the Business Council title, or relationship with the other business; volunteer the start date of your relationship; May 2021 the approximate number of hours/month you devote to the other business; 3 the number of hours you devote to the other business during securities trading hours; 0 and briefly describe your duties relating to the other business; chair of the business council which helps to engage local businesses in their support of the Museum Foundation.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-10-21 |
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