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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2021-12-12 |
| TX | RA | APPROVED_RES | 2021-11-15 |
Branch Locations
500 Post Road East 3Rd Floor, Westport, CT 06880 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Westport | CT | 03/2006 | 11/2021 |
| Morgan Stanley Smith Barney Llc | Westport | CT | 11/2021 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2022 | Present |
(1) 465919 - James Newby and Elizabeth Newby, LTD. / Investment Related / Ridgefield, CT / Partner / Start February 2020 / During business hours: 1 / After business hours: 4 / Check Signing, Funds Disbursements, Property Management, Accounting and Bookkeeping. (2) 468168 - J. William Newby Inc. / Not Investment Related / Haltom City, TX / Real Estate / Board Member / Start February 2020 / During business hours: 0 / After business hours: 0 / Administrative. (3) 466011 - Trust / Investment Related / Trustee, Co-Trustee / Start February 2020 / During business hours: 1 / After business hours: 0.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-06-13 |
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