Alexander Barclay

Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-03-19
OH	RA	APPROVED	2017-08-25

TX RA
APPROVED_RES

Since 2020-03-19
OH RA
APPROVED

Since 2017-08-25

Branch Locations

200 Public Square Suite 2600, Cleveland, OH 44114 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Rocky River	OH	03/2009	08/2017
Morgan Stanley	Cleveland	OH	08/2017	Present
Morgan Stanley Private Bank, National Association	New York	NY	10/2017	Present

03/2009 → 08/2017

Ubs Financial Services Inc

Rocky River, OH
08/2017 → Present

Morgan Stanley

Cleveland, OH
10/2017 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2009-03-16 → 2017-09-15

Ubs Financial Services Inc.

Rocky River, OH
2007-04-02 → 2009-03-20

Morgan Stanley & Co. Llc

Cleveland, OH

Cleveland, OH
2004-10-26 → 2007-04-02

Morgan Stanley Dw Inc.

Cleveland, OH

Cleveland, OH
1999-04-20 → 2004-11-01

Citigroup Global Markets Inc.

Cleveland, OH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-03-23
S63	Uniform Securities Agent State Law Examination	1988-02-04

S65 Uniform Investment Adviser Law Examination

1992-03-23
S63 Uniform Securities Agent State Law Examination

1988-02-04

Other Names

Alex Barclay
Alexander Douglas Barclay
Alexander D Barclay
Alexander D. Barclay

View on SEC IAPD