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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-05-01 |
| FL | RA | APPROVED | 2021-10-04 |
| IL | RA | APPROVED | 2021-09-17 |
Branch Locations
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 |
|---|---|---|---|---|
| Goldman, Sachs & Co. | New York | NY | 06/2010 | 03/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 08/2018 | 09/2021 |
| Retired | Naples | FL | 04/2018 | 08/2018 |
| Bank Of America, N.A. | Chicago | IL | 09/2018 | 09/2021 |
| Morgan Stanley Smith Barney Llc | Chicago | IL | 09/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2021 | Present |
1. *459582- Trust; Investment related -Yes; Burr ridge, Illinois; Trust; Trustee/Co-Trustee; 01/2021; During business hours: 1; After business hours: 1;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-22 |
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