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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-03-11 |
| CA | RA | APPROVED | 2009-06-01 |
| NV | RA | APPROVED | 2009-06-01 |
Branch Locations
1111 Prospect Street, La Jolla, CA 92037 • United States
4350 La Jolla Village Drive Suite 1000, San Diego, CA 92122 • United States
5796 Armada Drive Suite 200, Carlsbad, CA 92008 • 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 | Carlsbad | CA | 06/2009 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-08-26 |
| S63 | Uniform Securities Agent State Law Examination | 1987-09-25 |
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