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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-16 |
| TX | RA | APPROVED_RES | 2021-02-22 |
Branch Locations
300 Linden Oaks Suite 200, Rochester, NY 14625 • 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 | Rochester | NY | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*381902 - Lifetime Assistance Foundation; Investment related - No; Rochester ,NY; Fund Raising; Board Member (proprietor, partner, officer, director, employee, trustee, agent); Mar 2005; During business hours: 15; After business hours: 0; Oversees all development efforts. Formulates the Investment Policy Statement and a spending policy budget based on the fund raising efforts and investment return assumptions.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 1985-10-17 |
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