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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-02-19 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
225 West Santa Clara Street Suite 900, San Jose, CA 95113 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | San Jose | CA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. *76338 - Leo M Shortino Family Foundation; Investment related - No; San Jose, California; Children/Youth; Finance Committee, Board Member, Treasurer (proprietor, partner, officer, director, employee, trustee, agent); 07/2010; During business hours: 2; After business hours: 6; Labor/Service, Administrative 2. *361498 -Brigantine Lane LLC; Investment related: Yes; San Jose, California;Rental Property ; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 02/2019; During business hours: 0; After business hours: 2; Owner of rental properties 3. *539001 - 2615 E 6th St LLC.; Investment related Yes; San Jose, California; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 01/2023; During business hours: 0; After business hours: 2; Accounting/Bookkeeping
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-05-04 |
| S63 | Uniform Securities Agent State Law Examination | 1985-11-04 |
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