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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-02-11 |
| KY | RA | APPROVED | 2009-06-01 |
Branch Locations
444 East Main Street Suite 111, Lexington, KY 40507 • 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 |
|---|---|---|---|---|
| Fifth Third Securities | Lexington | KY | 01/2004 | Present |
| Morgan Stanley Smith Barney | Purchase | NY | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. Kentucky Children's Hospital Executive Development Council; Not Investment related; Hospital; Council member (proprietor, partner, officer, director, employee, trustee, agent); Jul 2004; During business hours: 4; After business hours: 8; Responsible for development at the hospital.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-07-10 |
| S63 | Uniform Securities Agent State Law Examination | 1987-01-07 |
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