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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-03-04 |
| CA | RA | APPROVED | 2022-02-02 |
Branch Locations
10960 Wilshire Boulevard Suite 2000, Los Angeles, CA 90024 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Los Angeles | CA | 06/2009 | 08/2017 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 08/2017 | 01/2022 |
| Morgan Stanley Smith Barney Llc | Los Angeles | CA | 01/2022 | Present |
(1) TRUSTEE OF FAMILY TRUST FBO NEPHEW; INVESTMENT RELATED; BEVERLY HILLS, CA; START 12-SEPTEMBER-2017; 1 HOUR DEVOTED MONTHLY; 0 DURING TRADING. (2) TRUSTEE OF FAMILY TRUST FBO NIECE; INVESTMENT RELATED; BEVERLY HILLS, CA; START 04-OCTOBER-2017; 0 HOURS. (3) 483433 - Trust; Investment Related; Beverly Hills, CA; Trustee/Co-Trustee; Start April 2019; 1 hour devoted monthly; 0 during trading; Investment Decisions/Advice. (4) 483428 - Trust; Investment Related; Beverly Hills, CA ; Trust; Trustee/Co-Trustee; Start February 2022; 1 hour devoted monthly; 0 during trading. (6) 483431 - Trust; Investment Related: Beverly Hills, CA; Trust; Trustee/Co-Trustee; Start April 2019; 1 hour devoted monthly; 0 during trading. (7) 598204 - Katz Family Properties LLC; Investment related: Yes; Beverly Hills, California; Rental Property; Real Estate; Partner/Investor/Officer; 05/2024; During business hours: 0; After business hours: 5; Accounting/Bookkeeping
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-08-27 |
| S63 | Uniform Securities Agent State Law Examination | 1991-05-21 |
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