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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-03-19 |
| WI | RA | APPROVED | 2009-06-01 |
Branch Locations
411 East Wisconsin Avenue Suite 2200, Milwaukee, WI 53202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Milwaukee | WI | 07/1993 | Present |
| Morgan Stanley Smith Barney | Milwaukee | WI | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. JRJ INVESTMENTS; NON INVESTMENT RELATED; 2501 S KINNICKINNIC AVE, MILWAUKEE WI; OWNER; 2 HOURS PER MONTH; 0 DURING TRADING HOURS; LLC THAT OWNS TWO FOUR UNIT APARTMENT BUILDINGS. 2.*390181 - RF LLC; Investment related- Yes; Whitefish Bay, Wisconsin; Investment/Finance/Banking; Officer (proprietor, partner, officer, director, employee, trustee, agent); July 2019; During business hours: 0; After business hours: 1; Investment Decisions/Advice
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-05-07 |
| S63 | Uniform Securities Agent State Law Examination | 1980-04-09 |
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