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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-07-10 |
| TX | RA | APPROVED | 2023-07-10 |
Branch Locations
1212 Troy Schenectady Road, Latham, NY 12110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | Albany | NY | 08/2012 | 11/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Saratoga Springs | NY | 11/2016 | 07/2023 |
| Bank Of America, N.A. | Saratoga Springs | NY | 01/2017 | 07/2023 |
| Morgan Stanley Smith Barney Llc | Saratoga Springs | NY | 07/2023 | Present |
| Morgan Stanley Private Bank, N.A | Latham | NY | 08/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-01-22 |
| S66 | Uniform Combined State Law Examination | 2005-09-08 |
| S63 | Uniform Securities Agent State Law Examination | 1987-06-19 |
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