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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-12-22 |
| TX | RA | APPROVED_RES | 2016-09-28 |
| IL | RA | APPROVED | 2009-06-01 |
Branch Locations
233 S Wacker Dr. Suite 8600, Chicago, IL 60606 • 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 | Chicago | IL | 06/2009 | 04/2023 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
| Morgan Stanley Smith Barney Llc | Pinehurst | NC | 12/2021 | Present |
| Morgan Stanley Smith Barney Llc | Whispering Pines | NC | 05/2024 | Present |
*680481 - FOREST CREEK PROPERTY OWNERS ASSOCIATION; Investment related: No; PINEHURST, North Carolina; Civic/Religious/Community; Board Member(proprietor, partner, officer, director, employee, trustee, agent); 2/2026; During business hours: 0; After business hours: 5; Property Management
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 1983-08-30 |
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