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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-08-01 |
| TX | RA | APPROVED | 2024-07-26 |
Branch Locations
3201 West White Oaks Drive Suite 201, Springfield, IL 62704 • 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 | Springfield | IL | 10/2009 | 07/2024 |
| Bank Of America, N.A. | Springfield | IL | 12/2009 | 07/2024 |
| Morgan Stanley Smith Barney Llc | Springfield | IL | 07/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 09/2024 | Present |
DREAMING IN COLOUR LLC4 CHARLWOOD / SPRINGFIELD, IL / START 02-APRIL-2012 / LIMITED PARTNER / MUSIC PUBLISHING, WRITING, SALES. *609472 - Dreaming in Colour; Investment related: Yes; Springfield, Illinois; Art/Culture; Partner(proprietor, partner, officer, director, employee, trustee, agent); 9/2024; During business hours: 0; After business hours: 10; artist
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-04-05 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-05 |
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