James W O'keefe

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-06-22

NY RA
APPROVED

Since 2021-06-22

Branch Locations

One Penn Plaza 43Rd Floor, New York, NY 10119 • United States

Disclosures

2 disclosure categories 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	New York	NY	06/2009	12/2023
Morgan Stanley Private Bank, N.A.	New York	NY	01/2015	12/2023
Morgan Stanley Smith Barney Llc	New York	NY	12/2023	Present

06/2009 → 12/2023

Morgan Stanley Smith Barney Llc

New York, NY
01/2015 → 12/2023

Morgan Stanley Private Bank, N.A.

New York, NY
12/2023 → Present

Morgan Stanley Smith Barney Llc

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-11-15
S63	Uniform Securities Agent State Law Examination	1990-01-31

S65 Uniform Investment Adviser Law Examination

1994-11-15
S63 Uniform Securities Agent State Law Examination

1990-01-31

Other Names

James William Okeefe

View on SEC IAPD