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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2020-10-20 |
| IL | RA | APPROVED | 2009-06-01 |
| TX | RA | APPROVED_RES | 2009-06-01 |
Branch Locations
233 South Wacker Drive Suite 9200 Pwm, Chicago, IL 60606 • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Chicago | IL | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. DHARMA BUMS, L.L.P; Investment related; Ottumwa, Iowa; Rental properties; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); Apr 1999; During business hours: 0; After business hours: 0
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2008-07-08 |
| S65 | Uniform Investment Adviser Law Examination | 1992-06-24 |
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