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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2009-06-01
TX RA APPROVED 2009-06-01
  • CO RA
    APPROVED
    Since 2009-06-01
  • TX RA
    APPROVED
    Since 2009-06-01

Branch Locations

5251 Dtc Parkway Suite 1500, Greenwood Village, CO 80111 • 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 Llc Greenwood Village CO 06/2009 Present
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    Greenwood Village, CO
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Centennial, CO
  • 2004-08-13 → 2007-04-02
    Morgan Stanley Dw Inc.
    Centennial, CO
    Centennial, CO
  • 2003-07-01 → 2004-08-18
    Greenwood Vilg, CO
  • 1997-02-20 → 2003-07-01
    Prudential Equity Group, Llc
    Greenwood Vilg, CO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-09-11
S63 Uniform Securities Agent State Law Examination 1990-06-20
  • S65 Uniform Investment Adviser Law Examination
    1996-09-11
  • S63 Uniform Securities Agent State Law Examination
    1990-06-20
Other Names
  • Ed May

View on SEC IAPD

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