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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-04-15 |
| NV | RA | APPROVED | 2009-06-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Reno | NV | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
Nevada Museum of Art- Reno, Nevada; Investment related - No; Reno, NV; Education in the cultural arts; Investment Committee Member (proprietor, partner, officer, director, employee, trustee, agent); 02/2014; During business hours: Nil; After business hours: 1 *389925 - CPWA Cerification Commission; Investment related No; Greenwood Village, CO; Investment/Finance/Banking; Member (proprietor, partner, officer, director, employee, trustee, agent); Feb 2020; During business hours: 1; After business hours: 0+ * 428812 - Investment and Wealth Institute Ethics Board; Investment related No; Greenwood Village, Colorado; Investment/Finance/Banking; Board Member;Jan 2021; During business hours: 1; Ethics Board *493380 - Trust; Investment related - Yes; Reno, Nevada; 11/1998; During business hours: 0; After business hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-04-22 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-04 |
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