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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-08 |
| CT | RA | APPROVED | 2009-06-01 |
Branch Locations
4 Landmark Square 2Nd Floor, Stamford, CT 06901 • 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 |
|---|---|---|---|---|
| Citigroup Global Markets Inc | Stamford | CT | 10/2007 | Present |
| Morgan Stanley Smith Barney | Stamford | CT | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1.New England College; Investment related; No; Henniker, NH; Education; Board of Trustee(proprietor, partner, officer, director, employee, trustee, agent); Jan 2018; During business hours: 0; After business hours: 2; New England College asked me to join the Board of Trustees. I will be advising on capital improvements to the campus to make it more attractive to incoming prospective students.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-07-17 |
| S63 | Uniform Securities Agent State Law Examination | 1987-10-02 |
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