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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-10-05 |
| TN | RA | APPROVED | 2021-07-29 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chattanooga | TN | 03/1994 | 07/2021 |
| Bank Of America, N.A. | Chattanooga | TN | 05/2011 | 07/2021 |
| Morgan Stanley Smith Barney Llc | Chattanooga | TN | 07/2021 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 08/2021 | Present |
*450433- Chattanoogan.com; Investment related No; Chattanooga, Tennessee; Publishing; writer (proprietor, partner, officer, director, employee, trustee, agent); 02/2019; During business hours: 0; After business hours: 4; Freelance writer and contributor 2; 599659 - Global Golf Post; Investment Related - No; Glenview, Illinois; Publishing; Freelance contributing writer for their publication (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 07/2024; During Business Hours: 0; After Business Hours: 4; Periodic freelance writer paid per story.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-05-27 |
| S63 | Uniform Securities Agent State Law Examination | 1984-10-02 |
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