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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-02-11 |
| WA | RA | APPROVED | 2009-06-01 |
Branch Locations
601 Union Street, Two Union Square Suite 5200, Seattle, WA 98101 • 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. | Seattle | WA | 07/1993 | Present |
| Morgan Stanley Smith Barney | Seattle | WA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
2. *387118 - Rainier Golf & Country Club; Investment related: No; Seattle, Washington; Recreation; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 01/2020; During business hours: 0; After business hours: 4;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-07-16 |
| S63 | Uniform Securities Agent State Law Examination | 1985-06-03 |
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