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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2019-01-03 |
| AZ | RA | APPROVED | 2018-02-08 |
| IL | RA | APPROVED | 2009-06-01 |
| TX | RA | APPROVED_RES | 2009-06-01 |
Branch Locations
111 South Pfingsten Road Suite 200, Deerfield, IL 60015 • United States
Phoenix, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Deerfield | IL | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
*403015 - Lending; Investment related - Yes; Chicago, Indiana; Lender (proprietor, partner, officer, director, employee, trustee, agent); 06/2020 ; During business hours: 0; After business hours: 0;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 1979-08-20 |
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