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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-10-04 |
| CT | RA | APPROVED | 2021-10-01 |
| NY | RA | APPROVED | 2021-09-13 |
| FL | RA | APPROVED | 2021-02-16 |
| NJ | RA | APPROVED | 2009-06-01 |
Branch Locations
Pound Ridge, NY • United States
1585 Broadway 21St Floor, New York, NY 10036 • United States
450 Royal Palm Way 5Th Floor, Palm Beach, FL 33480 • United States
Fort Lauderdale, FL • 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 | Palm Beach | FL | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
*415969 - Trust; Investment related Yes; Union, NJ; Nov 2020; During business hours: 0; After business hours: 1. *664246- shelly and neil mitchell family foundation; Investment related: No; springfield, New Jersey; Humanitarian; Founder (proprietor, partner, officer, director, employee, trustee, agent); 10/2025; During business hours: 0; After business hours: 1; Investment Decisions/Advice
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-09-10 |
| S66 | Uniform Combined State Law Examination | 2008-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 1982-07-30 |
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