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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2009-06-01 |
| TX | RA | APPROVED_RES | 2009-06-01 |
| WA | RA | APPROVED | 2009-06-01 |
Branch Locations
1020 10Th Street 2Nd Floor, Modesto, CA 95354 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Modesto | CA | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
* 42216 - STANISLAUS COMMUNITY FOUNDATION, INVESTMENT COMMITTEE; START DATE: 01/2004; DURING BUSINESS HOURS- 1, AFTER BUSINESS HOURS- 0; MODESTO, CA *391632 - Gallo Center for the Arts; Investment related No; Modesto, CA; Non-Profit; Investment Committee (proprietor, partner, officer, director, employee, trustee, agent); Feb 2020; During business hours: 0.5; After business hours: 0; Investment Decisions/Advice
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-08-20 |
| S63 | Uniform Securities Agent State Law Examination | 1985-12-04 |
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