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Monique Alicia Morris

Morgan Stanley

Pasadena, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-03-11
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-03-11
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

55 South Lake Avenue Pasadena Towers - Tower Ii Suite 700, Pasadena, CA 91101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Pasadena CA 06/2009 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    Pasadena, CA
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Glendale, CA
  • 2001-03-09 → 2007-04-02
    Morgan Stanley Dw Inc.
    Glendale, CA
    Glendale, CA
Other Businesses

*463476 - Trust ; Investment related - Yes; Pasadena, California; 11/2021; During business hours: 3; After business hours: 2

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-03-25
S63 Uniform Securities Agent State Law Examination 1996-09-04
  • S65 Uniform Investment Adviser Law Examination
    2021-03-25
  • S63 Uniform Securities Agent State Law Examination
    1996-09-04
Other Names
  • Monique Alicia Ledesma
  • Monique Alicia Pereyra

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

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