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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-07-06 |
Branch Locations
2800 Post Oak Boulevard Suite 3200, Houston, TX 77056 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital One Investing, Llc | Plano | TX | 05/2017 | 04/2018 |
| Smu | Dallas | TX | 09/2016 | 05/2017 |
| Capital One Advisors, Llc | Plano | TX | 09/2017 | 04/2018 |
| Morgan Stanley Smith Barney Llc | Houston | TX | 04/2018 | Present |
| Morgan Stanley Private Banking, N.A. | Houston | TX | 04/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-09-03 |
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