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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-04-12
TX RA APPROVED_RES 2012-02-09
  • CA RA
    APPROVED
    Since 2021-04-12
  • TX RA
    APPROVED_RES
    Since 2012-02-09

Branch Locations

28202 Cabot Road Suite 500, Laguna Niguel, CA 92677 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Newport Beach CA 06/2009 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Newport Beach, CA
Other Businesses

1. DIOR COSMETICS, NON INVESTMENT RELATED,MAKE UP ARTIST CHANEL COSMETICS, NON INVESTMENT RELATED, MAKEUP ARTIST BOTH COMBINED NO MORE THAN 20 HOURS PER MONTH DURING NON SECURITIES TRADING HOURS 2. WILLIAMS-SONOMA, RETAIL CASHIER; START DATE: 08/2016; NOT INVESTMENT RELATED; DURING BUSINESS HOURS- 0, AFTER BUSINESS HOURS- 3;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-01-30
  • S63 Uniform Securities Agent State Law Examination
    1998-01-30
Other Names
  • Dina Marie Montes

View on SEC IAPD

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