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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-03-12 |
| CA | RA | APPROVED | 2011-06-23 |
Branch Locations
3562 Round Barn Circle 1St Floor, Santa Rosa, CA 95403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Santa Rosa | CA | 04/2011 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. *483908- Trust; Investment related Yes; City, State; Trust; Trustee/Co-Trustee; 08/2011; During business hours: 0; After business hours: 0; Estate Administration *587852- Nicole's Bee Biz (new DBA: Foggy Fields Farm); Investment Related: Yes; Sebastopol, California; Agriculture; Sole Proprietor/Owner (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 04/2024; During Business Hours: 0; After Business Hours: 1; Sales/Marketing
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 2010-09-15 |
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