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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-16 |
| TX | RA | APPROVED | 2016-09-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Garden City | NY | 06/2011 | 09/2016 |
| Bank Of America, N.A. | Garden City | NY | 07/2011 | 09/2016 |
| Morgan Stanley | Jericho | NY | 09/2016 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 11/2016 | Present |
1.*362280 - Tokyo Christian University Foundation, Inc.; Investment related - No; Charitable activities to support TCU mission; Board member (proprietor, partner, officer, director, employee, trustee, agent); Mar 2019; During business hours: 0; After business hours: 0.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-04-26 |
| S63 | Uniform Securities Agent State Law Examination | 2006-06-23 |
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