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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-23 |
| IN | RA | APPROVED | 2009-06-01 |
Branch Locations
800 East 96Th Street Suite 400, Indianapolis, IN 46240 • United States
111 Monument Circle Suite 3100, Indianapolis, IN 46204 • 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 |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Indianapolis | IN | 02/1988 | Present |
| Morgan Stanley Smith Barney | Indianapolis | IN | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-12-14 |
| S63 | Uniform Securities Agent State Law Examination | 1986-11-07 |
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