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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-05-05 |
| TX | RA | APPROVED | 2023-05-05 |
Branch Locations
888 Veterans Memorial Highway Suite 300, Hauppauge, NY 11788 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Smithtown | NY | 01/1983 | 05/2023 |
| Bank Of America, N.A. | Smithtown | NY | 05/2011 | 05/2023 |
| Morgan Stanley Smith Barney Llc | Hauppauge | NY | 05/2023 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 05/2023 | Present |
*554727 - Sunshine Prevention Center ; Investment related - No ; Port Jeff Station, New York ; Children/Youth, Education, Health and Welfare ; Board Member(proprietor, partner, officer, director, employee, trustee, agent) ; 2/2013 ; During business hours : 0 ; After business hours : 1 ; Advisory, Fundraising *554627 - Home Town Rentals ; Investment related - Yes ; Selden, New York ; Real Estate ; Partner(proprietor, partner, officer, director, employee, trustee, agent) ; 1/2015 ; During business hours : 0 ; After business hours : 0 ; Silent Partner *554626- Lock-Schmidt Properties Inc; Investment related-Yes; Selden, New York; Real Estate; Partner (proprietor, partner, officer, director, employee, trustee, agent); 01/2011; During business hours: 0; After business hours: 0; Other
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-07-11 |
| S63 | Uniform Securities Agent State Law Examination | 1985-10-30 |
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