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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-02-20 |
| NC | RA | APPROVED | 2023-08-03 |
| IL | RA | APPROVED | 2023-07-28 |
Branch Locations
Weaverville, NC • United States
233 South Wacker Drive Suite 8600, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rothschild Investment Corp | Chicago | IL | 06/2014 | 06/2017 |
| Toroso Investment, Llc | Chicago | IL | 06/2017 | 07/2023 |
| Morgan Stanley Smith Barney Llc | Weaverville | NC | 07/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 09/2023 | Present |
*564317 - FINRA Dispute Resolution; Investment related: No; Chicago, Illinois; Investment/Finance/Banking; Arbitrator (proprietor, partner, officer, director, employee, trustee, agent); 05/2004; During business hours: 0.005; After business hours: 0; very sporatic arbitrations (one every 5 years)
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-08-09 |
| S66 | Uniform Combined State Law Examination | 1999-03-15 |
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