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Morgan Stanley CRD 149777
$1.96T regulatory AUM 416,984 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-07-09 |
| TX | RA | APPROVED | 2021-07-09 |
Branch Locations
3562 Round Barn Circle 1St Floor, Santa Rosa, CA 95403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Rosa | CA | 05/1999 | 07/2021 |
| Bank Of America,N.A. | Santa Rosa | CA | 09/2009 | 07/2021 |
| Morgan Stanley Smith Barney Llc | Santa Rosa | CA | 07/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 07/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-11-15 |
| S66 | Uniform Combined State Law Examination | 1999-08-13 |
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