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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-06-19 |
| WI | RA | APPROVED | 2020-06-19 |
Branch Locations
411 East Wisconsin Avenue Suite 2200, Milwaukee, WI 53202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services | Brookfield | WI | 02/2009 | 06/2020 |
| Morgan Stanley Smith Barney Llc | Milwaukee | WI | 06/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 11/2020 | Present |
*403931 - Louies Limbs LLC; Investment related Yes; Alma, WI; Agriculture; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); December 2006; During business hours: 0; After business hours: 10; Farming the land. *405299 - Louis enterprises LLc; Investment related No; Alma, WI; Hunting; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); Jan 2013; During business hours: 0; After business hours: 2; Property Management.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 1982-05-11 |
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