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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-01-03 |
| NY | RA | APPROVED | 2021-06-16 |
| TX | RA | APPROVED_RES | 2021-01-29 |
Branch Locations
8889 Pelican Bay Boulevard Suite 300, Naples, FL 34108 • United States
928 North Collier Boulevard 3Rd Floor, Marco Island, FL 34145 • United States
300 Linden Oaks Suite 200, Rochester, NY 14625 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Naples | FL | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
Pease Bay Family LLC, OWNER; NON MEMBER MANGER FOR 3 CHILDREN; START DATE: 07/2016; DURING BUSINES HOURS: 0; AFTER BUSINESS HOURS: 1; INVESTMENT RELATED F.P.USA LLC,DIRECTOR AND PARTNER;INVESTMENT RELATED;START DATE:12/2007;DURING BUSINESS HOURS-0,AFTER BUSINESS HOURS-1;ROCHESTER NY * 442852 - International Foundation of Employee Benefit Plans.; Investment related No; Brookfield, WI; Non-Profit; Investment Management Committee (proprietor, partner, officer, director, employee, trustee, agent); Jan 2022; During business hours: 0; After business hours: 2.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-11-30 |
| S63 | Uniform Securities Agent State Law Examination | 1987-10-06 |
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