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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 |
| IL | RA | APPROVED | 2009-06-01 |
Branch Locations
111 South Pfingsten Road Suite 200, Deerfield, IL 60015 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Deerfield | IL | 06/2009 | Present |
*445299 - FINRA ; Investment related - Yes; Chicago, Illinois; Investment/Finance/Banking; Training to be an arbitrator (proprietor, partner, officer, director, employee, trustee, agent); 01/2022; During business hours: 0; After business hours: 2; *498398 - Kahului Skies L.L.C.; Investment related Yes; Deerfield, Illinois; Investment/Finance/Banking; Partner (proprietor, partner, officer, director, employee, trustee, agent); 05/2022; During business hours: 0; After business hours: 0 *513959 - Trust; Investment related: Yes; Deerfield, Illinois; Trust; Trustee/Co-Trustee; 07/2022; During business hours: 0; After business hours: 0;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 1984-12-17 |
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