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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2019-09-23 |
| TX | RA | APPROVED_RES | 2019-09-19 |
Branch Locations
500 West Madison Suite 3800, Chicago, IL 60661 • 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 | Chicago | IL | 10/2010 | 08/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 08/2019 |
| Morgan Stanley Smith Barney Llc | Deerfield | IL | 04/2015 | 08/2019 |
| Oppenheimer & Co. Inc | Chicago | IL | 09/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-07-07 |
| S63 | Uniform Securities Agent State Law Examination | 1987-06-04 |
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