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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-08-03 |
| FL | RA | APPROVED | 2020-03-09 |
| TX | RA | APPROVED_RES | 2020-03-02 |
Branch Locations
450 Royal Palm Way 5Th Floor, Palm Beach, FL 33480 • United States
Mooresville, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Chase Bank, N.A. | Palm Beach Gardens | FL | 10/2010 | 02/2020 |
| J.P. Morgan Securities Llc | Palm Beach Gardens | FL | 10/2008 | 02/2020 |
| Morgan Stanley Smith Barney Llc | Palm Beach Island | FL | 02/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 06/2020 | Present |
*395823 - Trust; Investment related - Yes; Trustee/Co-Trustee (proprietor, partner, officer, director, employee, trustee, agent); Feb 2013; During business hours: 1; After business hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-04-07 |
| S63 | Uniform Securities Agent State Law Examination | 1985-01-18 |
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