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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-09-02 |
| NY | RA | APPROVED | 2021-06-16 |
| CT | RA | APPROVED | 2019-10-22 |
| FL | RA | APPROVED | 2019-10-15 |
Branch Locations
450 Essjay Road Suite 100, Williamsville, NY 14221 • United States
Niagara Falls, NY • United States
Cape Coral, FL • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Williamsville | NY | 04/2011 | 10/2019 |
| Morgan Stanley Smith Barney Llc | Williamsville | NY | 10/2019 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 10/2019 | Present |
| Morgan Stanley Smith Barney Llc | Cape Coral | FL | 03/2022 | Present |
1)THE MURPHY FUND / 2436 RIVER ROAD NIAGARA FALLS NY 14304 / TO MAKE CHARITABLE DONATION TO THOSE IN NEED / OFFICER / TO MAKE DECISION WHO IS TO RECEIVE DONATION / START DATE 10/01/1997.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-10-22 |
| S66 | Uniform Combined State Law Examination | 2007-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 1986-06-20 |
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