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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2023-03-01 |
| TX | RA | APPROVED_RES | 2020-04-02 |
| IL | RA | APPROVED | 2009-06-01 |
Branch Locations
211 Fulton Street Suite 500A, Peoria, IL 61602 • 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 Llc | Peoria | IL | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. NASD DISPUTE RESOLUTION. SERVE AS A PANELIST FOR THE NASD IN MATTER OF DISPUTE RESOLUTION. SERVE AS THE INDUSTRY PANELIST WHEN CALLED ON TO SERVE / FIRST BAPTIST CHURCH 2502 E. COLLEGE AVE. BLOOMINGTON, IL 61704. NOT INVESTMENT RELATED. I STARTED 6/2010, I AM TH TREASURERI ONLY SIGN THE CHECKS THE FINANCIAL SECRETARY HANDLES EVERYTHING ELSE. I DEVOTE 1 HR PER MTH DURING TRADINGS HRS AND 5 HRS PER MTH DURING NON-TRADING HRS***** 2. GENON MINISTRIES OR GENON MINISTRIES ; PRESIDENT OF THE BOARD; AFTER BUSINESS HOURS: 2 DURING BUSINESS HOURS: 1.0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-03 |
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