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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-05-12 |
Branch Locations
28 State Street 26Th Floor, Boston, MA 02109 • 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 |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Boston | MA | 07/1993 | Present |
| Morgan Stanley Smith Barney | Boston | MA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*77189 - Emerson Umbrella Center for the Arts; Investment related No; concord, MA; Non-Profit; VP Finance Committee, Investment Committee, Board Member (proprietor, partner, officer, director, employee, trustee, agent); Oct 2011; During business hours: 0; After business hours 04; HEAD OF FIN COMMITTEE, HEAD OF INVESTMENT COMMITTEE, BOARD MEMBER. BOARD OF BAR OVESEERS OF THE SUPREME JUDICIAL COURTY MASS- HEARING COMMITTE APPOINTMENT - 1 HOUR AFTER BUSIESS= EFFECTIVE 01/2015 *381901 - Massachusetts Board of Bar Overseers pursuant to Supreme Judicial Court Rule; Investment related No; Charity / Private Foundation; Board Member (proprietor, partner, officer, director, employee, trustee, agent); Oct 2019; During business hours: 0; After business hours: 3
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-07-06 |
| S63 | Uniform Securities Agent State Law Examination | 1982-05-14 |
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