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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-01-11 |
| SD | RA | APPROVED | 2009-06-01 |
Branch Locations
300 Cherapa Place Suite 503, Sioux Falls, SD 57103 • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Sioux Falls | SD | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
1. *47968- Avera McKennan Hospital Board of Trustees; Investment related-No; Sioux Falls , South Dakota; Health and Welfare, Medical, Religious; Board Member, Advisory Board (proprietor, partner, officer, director, employee, trustee, agent); 08/2022; During business hours: 1; After business hours: 1 2. VGG Enterprises LLC; Investment related; Sioux Falls, SD; investments; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); Jan 2007; During business hours: 0; After business hours: 1; co-manage private investments. *629672 - FINRA Dispute Resolution Arbitrator; Investment related: No; New York, New York; FINRA Dispute Resolution Arbitrator; FINRA Dispute Resolution Arbitrator (proprietor, partner, officer, director, employee, trustee, agent); 02/2025; During business hours: 1; After business hours: 0; Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-01-07 |
| S63 | Uniform Securities Agent State Law Examination | 1981-12-05 |
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