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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-15 |
| AL | RA | APPROVED | 2009-06-01 |
Branch Locations
740 Shades Creek Parkway, Birmingham, AL 35209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Birmingham | AL | 01/2002 | Present |
| Morgan Stanley Smith Barney | Birmingham | AL | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*458518- WPT, LLC; Investment related Yes; Mountain Brook, Alabama; Investment/Finance/Banking; Partner (proprietor, partner, officer, director, employee, trustee, agent); 09/2021; During business hours: 5; After business hours: 0; Investment Decisions/Advice, Check Signing/Funds Disbursements, Financial Advisor. *545499 - St. Mary's Foundation; Investment related No; Birmingham, Alabama; Religious; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 04/2023 ; During business hours: 2; After business hours: 0; Investment Decisions/Advice, Allocation of financial resources towards church activities.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1980-06-11 |
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