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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-05-17 |
| TX | RA | APPROVED_RES | 2021-05-01 |
Branch Locations
2 North Tamiami Trail Suite 1100, Sarasota, FL 34236 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sarasota | FL | 10/2009 | 04/2021 |
| Bank Of America, N.A. | Sarasota | FL | 01/2015 | 04/2021 |
| Morgan Stanley Smith Barney Llc | Sarasota | FL | 04/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 06/2021 | Present |
1. *440746-Trust; Investment related -Yes; Sarasota, Florida; Trust; Trustee/Co-Trustee; 05/2012; During business hours: 1; After business hours: 0; 2. *440748- Trust; Investment related -Yes; Sarasota, Florida; Trust; Trustee/Co-Trustee; 05/2012; During business hours: 1; After business hours: 0;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2004-12-08 |
| S65 | Uniform Investment Adviser Law Examination | 2000-06-15 |
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