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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-02-24 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets, Inc. | Capitola | CA | 08/2008 | Present |
| Morgan Stanley Smith Barney | Capitola | CA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1 BOYS & GIRLS CLUB OF SANTA CRUZ - BOARD MEMBER. 2 ODD FELLOWS CEMETERY & MORTUARY - BOARD OF TRUSTEES *625471- Lompoc Odd Fellows Lodge; Investment related: No; Lompoc, California; Civic/Religious/Community; Finance Committee (proprietor, partner, officer, director, employee, trustee, agent); 01/2025; During business hours: 0; After business hours: 1; Administrative
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1984-08-21 |
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