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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2026-06-23 |
| TX | RA | APPROVED | 2017-08-30 |
| VA | RA | APPROVED | 2017-08-30 |
Branch Locations
10 South Jefferson Street Suite 1700, Roanoke, VA 24011 • United States
Kure Beach, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Roanoke | VA | 04/1984 | 08/2017 |
| Bank Of America, N.A. | Roanoke | VA | 12/2009 | 08/2017 |
| Morgan Stanley Smith Barney Llc | Roanoke | VA | 08/2017 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 10/2017 | Present |
1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CASTILE RUN 1 LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: ROANOKE, VIRGINIA 24018 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 5/3/2013 NUMBER OF HOURS DEVOTED: 52 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A NORTH CAROLINA LLC I FORMED- I OWN 51% AND MY WIFE OWNS 49%- TO PURCHASE AN INVESTMENT PROPERTY IN CAROLINA BEACH, NC. 2. *344514- Elbert LLC; Investment related-Yes; Roanoke, Virginia; Real Estate; Partner (proprietor, partner, officer, director, employee, trustee, agent); 05/2018; During business hours: 0; After business hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-08-15 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-28 |
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