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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-24
CA RA APPROVED 2011-09-06
  • TX RA
    APPROVED_RES
    Since 2020-02-24
  • CA RA
    APPROVED
    Since 2011-09-06

Branch Locations

245 Lytton Avenue Suite 200, Palo Alto, CA 94301 • United States

650 Castro Street Suite 105, Mountain View, CA 94041 • 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 San Jose CA 09/2011 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 09/2011 → Present
    Morgan Stanley Smith Barney
    San Jose, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2011-01-03 → 2011-09-08
    Mountain View, CA
    Mountain View, CA
  • 2002-12-11 → 2011-01-03
    Wells Fargo Investments, Llc
    Mountain View, CA
    Mountain View, CA
    Mountain View, CA
    Mountain View, CA
Other Businesses

1. RENTAL PROPERTY; 621 POPPY AVE, PATTERSON, CA; OWNER; 0 HOURS PER MONTH DURING AND OUTSIDE BUSINESS HOURS; RENTAL INCOME, PROPERTY MANAGER HANDLES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-07-06
  • S66 Uniform Combined State Law Examination
    2001-07-06

View on SEC IAPD

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