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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-02 |
| NJ | RA | APPROVED | 2009-06-01 |
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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Red Bank | NJ | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
(1) 371514; New Hope IBHC; Investment related: No; Marlboro Township, New Jersey; Health and Welfare:Hardship Assistance; Treasurer (proprietor, partner, officer, director, employee, trustee, agent); 06/2019; During business hours: 0; After business hours: 2; Check Signing/Funds Disbursements (2) 172217 - Yog of True Wealth / Not Investment Related / Rumson, NJ / Author / Start 01-August-2013 / During business hours: 1 / After business hours: 0 / Authoring book. (3) 585443 - Book on Spirituality / Investment Related / Rumson, NJ / Writing a book on spirituality / Start 01-March-2024 / During business hours: 0 / After business hours: 10 / Labor, Service. (4) 688409 - The Golden Thread - Jesus and the Path to Awakening / Not Investment Related / Rumson, NJ / Publishing / I got approval to write a book - now i am looking for it to be approved / Start 01-May-2026 / During business hours: 0 / After business hours: 2 / Sales, Marketing.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-15 |
| S63 | Uniform Securities Agent State Law Examination | 1985-06-24 |
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