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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-05-23 |
| TX | RA | APPROVED | 2025-05-23 |
Branch Locations
216 Lorton Avenue Suite 200, Burlingame, CA 94010 • United States
La Quinta, CA • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | San Mateo | CA | 07/1991 | 05/2025 |
| Morgan Stanley Smith Barney Llc | Burlingame | CA | 05/2025 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 06/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-08-19 |
| S63 | Uniform Securities Agent State Law Examination | 1991-07-19 |
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