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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-16 |
| TX | RA | APPROVED_RES | 2020-04-23 |
| CT | RA | APPROVED | 2017-03-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Utica | NY | 07/1993 | Present |
| Morgan Stanley Smith Barney | Utica | NY | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*76417- Village of Clinton NY Zoning Board of Appeals; Investment related-No; Clinton, New York; Government; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 04/2012; During business hours: 0; After business hours: 1; Vote on Zoning Variance requests
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-02-03 |
| S63 | Uniform Securities Agent State Law Examination | 1987-05-19 |
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