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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2024-12-19 |
| TX | RA | APPROVED_RES | 2020-03-03 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
10960 Wilshire Boulevard Suite 2000, Los Angeles, CA 90024 • United States
La Quinta, CA • United States
Wailea, HI • United States
Malibu, CA • United States
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 |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Los Angeles | CA | 06/2003 | Present |
| Morgan Stanley Smith Barney | Los Angeles | CA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*422560 - Trust; Investment related Yes; Malibu, CA; June 2003; During business hours: 2; After business hours: 0. *422564 - Trust; Investment related Yes; Malibu, CA; June 2003; During business hours: 2; After business hours: 0. *422567 - Trust; Investment related Yes; Malibu, CA; June 2003; During business hours: 2; After business hours: 0.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 1984-10-01 |
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