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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2026-02-10 |
| TX | RA | APPROVED | 2026-02-10 |
Branch Locations
4969 Us Highway 42 Suite 1200, Louisville, KY 40222 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Louisville | KY | 08/2000 | 02/2026 |
| Morgan Stanley Smith Barney Llc | Louisville | KY | 02/2026 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 02/2026 | Present |
(1) 683383 - Lillian Margaret Cary Trust / Investment Related / Trustee, Co-Trustee / Louisville, KY / Start 20-January-2001 / 5 hours devoted monthly / 0 during trading / Trustee for client. / Accounting, Bookkeeping, Investment Decisions, Advice, Check Signing, Funds Disbursements. (2) 691753 - Louisville Orchestra / Not Investment Related / Louisville, KY / Non-Profit, Civic, Community / Board Member / Start 01-December-2024 / 5 hours devoted monthly / 0 during trading / Administrative. (3) 691754 - Assumption High School / Not Investment Related / Louisville, KY / Catholic High School / Board Member, Investment Committee / Start 01-September-2019 / 2 hours devoted monthly / 0 during trading / Hear reports from outside money manager. No decisions are made.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1983-02-02 |
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