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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-02-11 |
| IA | RA | APPROVED | 2009-06-01 |
Branch Locations
4300 East 53Rd Street Suite 300, Davenport, IA 52807 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc | Davenport | IA | 11/2007 | Present |
| Morgan Stanley Smith Barney | Davenport | IA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1.Rotary Club of North Scott Education Foundation; Investment related: No; Eldridge, IA; Investing assets for scholarships; Chairperson (proprietor, partner, officer, director, employee, trustee, agent); Jul 2015; During business hours: 1; After business hours: 1; 2. *358617- GSV River Rentals, LLC; Investment related -Yes; DeWitt, Iowa; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 11/2018; During business hours: 0; After business hours: 1; Property Management 3. *376548 - Free Enterprise Foundation; Investment related No; Moline, IL; Fund raising and investment to support Junior Achievement of the Heartland; Board of Director (proprietor, partner, officer, director, employee, trustee, agent); Aug 2019; After business hours: 1 4. *400103 - Buffalo Chips LLC; Investment related: Yes; DeWitt, Iowa; Restaurant/Bar/Nightclub; Partner(proprietor, partner, officer, director, employee, trustee, agent); 05/2020; During business hours: 0; After business hours: 4; *485151- Figge Art Museum Finance Committee; Investment related -Yes; Davenport, Iowa; Art/Culture; Board Member, Finance Committee(proprietor, partner, officer, director, employee, trustee, agent); 02/2022; During business hours: 1; After business hours: 0; Labor/Service
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-08 |
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