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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-02 |
| CT | RA | APPROVED | 2009-06-01 |
Branch Locations
500 Post Road East 3Rd Floor, Westport, CT 06880 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | New Canaan | CT | 06/1968 | Present |
| Morgan Stanley Smith Barney | New Canaan | CT | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
3. Bruce & Janet Sargent Charitable Foundation; president/co-trustee/Director; 01/1900; Board members of a family foundation established for charitable purposes; Management of investments & gifting; During business hours 1; After business hours 2; Bruce and Janet will be funding the acct and directing payments to charities at their discretion. Will be providing investment advise. *319224- Game Conservancy USA; Investment related No; Westport, Connecticut; Connecticut; Trustee (proprietor, partner, officer, director, employee, trustee, agent); 07/2009; During business hours: 0; After business hours: 2; description of duties
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-07-11 |
| S63 | Uniform Securities Agent State Law Examination | 1979-11-28 |
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