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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-02-08 |
| TX | RA | APPROVED_RES | 2021-08-23 |
| PA | RA | APPROVED | 2021-08-20 |
Branch Locations
515 West Hamilton Street 7Th Floor, Allentown, PA 18101 • United States
Fort Myers, FL • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Allentown | PA | 03/1996 | 08/2021 |
| Bank Of America, N.A. | Allentown | PA | 04/2011 | 08/2021 |
| Morgan Stanley Smith Barney Llc | Allentown | PA | 08/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 09/2021 | Present |
I*129702 For profit or not for profit: Non-Profit Organization Name of outside business organization: Allentown Symphony Association Investment Committee Investment related: Y Address of business: Allentown, Pennsylvania 18101 Nature of business: Charitable Organization, Position, title, association: Director, Start date of relationship: 2/11/2020 Number of hours devoted: 4 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Attend monthly board meetings 2.*454184- Allentown Symphony Association; Investment related -No; Allentown, Pennsylvania; Art/Culture; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 06/2004; During business hours: 0; After business hours: 3; Administrative *480412 - Power of Attorney; Investment related Yes; Macungie, PA; Jan 2022; During business hours: 01; After business hours: 00
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-10-24 |
| S63 | Uniform Securities Agent State Law Examination | 1986-08-07 |
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