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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-12-16 |
| NJ | RA | APPROVED | 2016-09-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 | Marlton | NJ | 12/2006 | 09/2016 |
| Bank Of America, Na | Mount Laurel | NJ | 05/2010 | 09/2016 |
| Morgan Stanley | Mt. Laurel | NJ | 09/2016 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 10/2016 | Present |
2. Pax Nauticus LLC; Investment related No; Property Management; Role/position/job title (proprietor, partner, officer, director, employee, trustee, agent); Dec/2016; During business hours: 0; After business hours: 12;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-03-18 |
| S65 | Uniform Investment Adviser Law Examination | 1999-03-18 |
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