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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2009-06-01 |
| MD | RA | APPROVED | 2009-06-01 |
| TX | RA | APPROVED_RES | 2009-06-01 |
| VA | RA | APPROVED | 2009-06-01 |
Branch Locations
1775 I Street, North West Suite 200, Washington, DC 20006 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Washington | DC | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. NATIONAL ASSOCIATION OF SECURITIES DEALERS (NASD) ARBITRATOR. NATIONAL FUTURES ASSOCIATION (NFA) ARBITRATOR. 2. *206349 - Hale Investment Partners LLC; Investment related - Yes; Kentfield, California; Family LLC; Minority Managing Partner (proprietor, partner, officer, director, employee, trustee, agent); 09/2018; During business hours: 0; After business hours: 1; 3.Trail LLC; Investment related: Yes; Minority Member of LLC ; Holding Company; Aug 2014; During business hours: 0; After business hours: 1; 4. *422907 - Trust; Investment related: Yes; Wilmington, Delaware; Agent/Personal Representative; 02/2021; During business hours: 1; After business hours: 0; *488655 - Trust; Investment related: Yes; Wilmington, Delaware; 03/2022; During business hours: 0.1; After business hours: 0.9 *489096 - Trust; Investment related: Yes; Wilmington, Delaware; 03/2022; During business hours: 1; After business hours: 0 *489100 - Trust; Investment related: Yes; Wilmington, Delaware; 03/2022; During business hours: 1; After business hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-10-30 |
| S63 | Uniform Securities Agent State Law Examination | 1985-08-01 |
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