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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-04-23 |
| CT | RA | APPROVED | 2019-01-11 |
Branch Locations
1500 Main Street 19Th Floor, Springfield, MA 01115 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Springfield | MA | 10/1985 | 12/2018 |
| Bank Of America, N.A. | Springfield | MA | 11/2015 | 12/2018 |
| Morgan Stanley Smith Barney Llc | Springfield | MA | 12/2018 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2019 | Present |
1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: DK DESIGNS INVESTMENT RELATED: N ADDRESS OF BUSINESS: MONSON, MASSACHUSETTS 1057 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 5/6/2013 NUMBER OF HOURS DEVOTED:1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: CREATION OF JEWELRY, SOAP AND OTHER HOMEMADE CRAFTS FOR SALE THROUGH OR AT CRAFT FAIRS 2: *523897: Old Oak Farm LLC Investment related: Yes; Monson, Massachusetts ; Agriculture, Real Estate; Manager/Member for LLC; 09/2022; During business hours: 0; After business hours: 80; Administrative, Accounting/Bookkeeping, Check Signing/Funds Disbursements, Property Management, Business Development/Growth, Sales/Marketing, Labor/Service 3. *579353 - Town of Monson Agriculture Commission; Investment related-No; Monson, Massachusetts; Government; Member/Alternate (proprietor, partner, officer, director, employee, trustee, agent); 02/2024; During business hours: 0; After business hours: 2; Labor or Service, Administrative
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-05-20 |
| S63 | Uniform Securities Agent State Law Examination | 1991-07-29 |
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