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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-08 |
| CT | RA | APPROVED | 2009-06-01 |
Branch Locations
741 Boston Post Road, Madison, CT 06443 • United States
West Hartford, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Hartford | CT | 03/1998 | Present |
| Morgan Stanley Smith Barney | Madison | CT | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*489621 - St john's Episcolpal Church; Investment related No; West Hartford, Connecticut; Religious; Finance Committee (proprietor, partner, officer, director, employee, trustee, agent); 03/2022; During business hours: 0; After business hours: 2; Investment Decisions/Advice *612603 - Hartford Golf Club; Investment Related - No; West Hartford, Connecticut; Country Club; Nominating Committee (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 10/2024; During Business Hours: 0; After Business Hours: 1; Other. *687697- Powderhorn Associates; Investment related: No; Jackson, Wyoming; Real Estate; Partner (proprietor, partner, officer, director, employee, trustee, agent); 04/2026; During business hours: 0; After business hours: 1; Administrative *689865 - Rental Property; Investment Related - Yes; Jackson, Wyoming; Rental Property; Sole Proprietor/Owner (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 05/2025; During Business Hours: 0; After Business Hours: 2; Administrative, Accounting/Bookkeeping, Property Management
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-14 |
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