Best Investors Account Sign in

James Kurtis Swope

Morgan Stanley

Kansas City, MO

Claim This Profile
Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2009-06-01
TX RA APPROVED_RES 2009-06-01
  • MO RA
    APPROVED
    Since 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2009-06-01

Branch Locations

4520 Main Street, Kansas City, MO 64111 • 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 Kansas City MO 06/2009 Present
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    Kansas City, MO
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Kansas City, MO
  • 2000-05-11 → 2007-04-02
    Morgan Stanley Dw Inc.
    Kansas City, MO
    Kansas City, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-12
S63 Uniform Securities Agent State Law Examination 1989-09-20
  • S65 Uniform Investment Adviser Law Examination
    1999-10-12
  • S63 Uniform Securities Agent State Law Examination
    1989-09-20

View on SEC IAPD

Other Firms

STATE FARM INVESTMENT MANAGEMENT CORP.
LPL FINANCIAL LLC
U.S. BANCORP ADVISORS, LLC
EDWARD JONES
DOMINION PORTFOLIO MANAGEMENT, INC.
COPPER FINANCIAL
OSAIC WEALTH, INC.
MARKET INVESTMENT GROUP, LLC

Other Investors

FRANK JOSEPH JANACARO
SETH ALLAN KEETHLER
William Scott Wiley
Frederick G Prewitt
JOSEPH MARINO ST GEORGE
Joseph T Yates
ADELINE ELIZABETH KROPF
Michael Andrew Keeton

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Kansas City, MO
LPL FINANCIAL LLC · Kansas City, MO
U.S. BANCORP ADVISORS, LLC · Kansas City, MO
EDWARD JONES · KANSAS CITY, MO
DOMINION PORTFOLIO MANAGEMENT, INC. · KANSAS CITY, MO
COPPER FINANCIAL · Kansas City, MO
OSAIC WEALTH, INC. · KANSAS CITY, MO
EDWARD JONES · KANSAS CITY, MO

More in Kansas City, MO

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor