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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-12-06 |
| CT | RA | APPROVED | 2022-12-02 |
Branch Locations
433 South Main Street, West Hartford, CT 06110 • 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 |
|---|---|---|---|---|
| Simsbury Bank & Trust Co. | Simsbury | CT | 02/2008 | 10/2019 |
| Raymond James Financial Services, Inc. | Simsbury | CT | 10/2019 | 12/2022 |
| Raymond James Financial Services Advisors, Inc. | Simsbury | CT | 10/2019 | 12/2022 |
| Liberty Bank | Simsbury | CT | 10/2019 | 12/2020 |
| Morgan Stanley Smith Barney Llc | West Hartford | CT | 12/2022 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-16 |
| S63 | Uniform Securities Agent State Law Examination | 1990-01-23 |
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