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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-01-28 |
| ME | RA | APPROVED | 2016-08-18 |
Branch Locations
100 Middle Street 3Rd Floor, Portland, ME 04101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Portland | ME | 08/2016 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 10/2016 | Present |
1.Name of Entity: RM3 Labs Address of Business: 1700 55th Street Unit B Boulder CO 80301 Business Description: Lab that tests purity and potency of medical marijuana and food products that contain marijuana. Projected Start Date - 04/01/2014 Projected End Date -No anticipated end date Business is not investment related Capacity - Passive owner. Duties Performed - None. Just an investor. 0 hours devoted to this OBA per month 0 hours devoted during security trading hours per month 2.Name of Entity: Falmouth Memorial Library Address of Business: 5 Lunt Road Falmouth ME 04105 Business Description: Public library Projected Start Date - 12/01/2013 Projected End Date -12/31/2017 Business is not investment related Capacity - Treasurer Duties Performed - A letter from the president of the library has been sent to division contact 8 hours devoted to this OBA per month 4 hours devoted during security trading hours per month 3.Rob Emple; Not Investment related; Music/entertainment; Solo Singer/Guitarist (proprietor, partner, officer, director, employee, trustee, agent); May 2018; During business hours: 0; After business hours: 10; Playing Music, singing at a restaurant/bar.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-03-22 |
| S63 | Uniform Securities Agent State Law Examination | 1989-10-27 |
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