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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-03-26 |
| NE | RA | APPROVED | 2009-06-01 |
Branch Locations
13625 California Street Suite 400, Omaha, NE 68154 • 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. | Omaha | NE | 04/2007 | Present |
| Morgan Stanley Smith Barney | Omaha | NE | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
2. *579399 - Education Rights Counsel; Investment Related - No; Omaha, Nebraska; Children/Youth, Education; Board Member, Secretary-Treasurer (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 01/2024; During Business Hours: 4; After Business Hours: 4; Administrative, Business Development/Growth, Monitor Budget and Cash Flow, Provide Financial Updates at Quarterly Board Meetings
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-06-21 |
| S63 | Uniform Securities Agent State Law Examination | 1984-10-02 |
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