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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 | 2014-06-10 |
Branch Locations
1212 Troy Schenectady Road, Latham, NY 12110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Latham | NY | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
FINRA, NEW YORK, NY 10006(REGULATION)-ARBITRATOR-RECEIVE COMPENSATION WEEKLY-ARBITRATOR ASSIGNED TO DIFFERENT CASES TO BE DECIDED BY FINRA(BEEN AN ARTBITRATOR FOR OVER TEN YEARS FOR THE NASD AND FINRA. CASES ARE PRESENTED TO ME ON A RANDOM BASIS. I HAVE A CASE BEFORE ME THAT WILL START WITH A PHONE CONFERENCE THE WEEK OF 5/18/09. I WANT TO PARTICIPATE ON THE PANEL.)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-11-10 |
| S63 | Uniform Securities Agent State Law Examination | 1982-07-01 |
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