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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-03-03 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
400 Capitol Mall Suite 1900, Sacramento, CA 95814 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Sacramento | CA | 07/1993 | Present |
| Morgan Stanley Smith Barney | Sacramento | CA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
* 374643 - House Rental; Investment related; Sacramento, CA; Rental; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); Jul 2019; During business hours: 0; After business hours: 0. *389451 - Power AEO; Investment related Yes; Carmichael, California; Family LLC; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); Feb 2020; During business hours: 0; After business hours: 0; Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-04-09 |
| S63 | Uniform Securities Agent State Law Examination | 1988-04-01 |
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