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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2019-07-08 |
Branch Locations
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 Llc | New Haven | CT | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
| Wells Fargo Clearing Services Llc | Westport | CT | 07/2019 | Present |
COUNTRY CLUB OF FAIRFIELD SULIK ASSISTANCE FUND FOR EMPLOYEES , INV RELATED, FAIRFIELD, CT, INVESTMENT COMMITTEE MEMBER, START 11/1/2021, 2 HOURS PER MONTH, ZERO HOURS DURING TRADING, DISCUSSING FUND CHANGES AND REBALANCES AND ALIGNMENT TO INVESTMENT POLICY STATEMENT.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-10-12 |
| S63 | Uniform Securities Agent State Law Examination | 1986-03-27 |
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