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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-03-10
AZ RA APPROVED 2019-08-06
  • TX RA
    APPROVED
    Since 2020-03-10
  • AZ RA
    APPROVED
    Since 2019-08-06

Branch Locations

Greer, AZ • United States

7175 North Pima Canyon Drive, Tucson, AZ 85718 • 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
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Tucson AZ 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Tucson, AZ
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Other Businesses

*192188- Real Estate; Investment related: Yes; Tucson, Arizona; Real Estate; Owner (proprietor, partner, officer, director, employee, trustee, agent); 01/2013; During business hours: 0; After business hours: 0; Rent the property under long term lease

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-02
S65 Uniform Investment Adviser Law Examination 1992-07-16
S63 Uniform Securities Agent State Law Examination 1989-02-03
  • S66 Uniform Combined State Law Examination
    2019-08-02
  • S65 Uniform Investment Adviser Law Examination
    1992-07-16
  • S63 Uniform Securities Agent State Law Examination
    1989-02-03

View on SEC IAPD

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