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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-08-03
TX RA APPROVED 2021-08-02
  • CA RA
    APPROVED
    Since 2021-08-03
  • TX RA
    APPROVED
    Since 2021-08-02

Branch Locations

Laguna Hills, CA • United States

800 Newport Center Drive Suite 500, Newport Beach, CA 92660 • 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
Ubs Financial Services Inc. Newport Beach CA 07/2012 08/2021
Morgan Stanley Smith Barney Llc Newport Beach CA 08/2021 Present
Morgan Stanley Private Bank, N.A New York NY 09/2021 Present
  • 07/2012 → 08/2021
    Newport Beach, CA
  • 08/2021 → Present
    Morgan Stanley Smith Barney Llc
    Newport Beach, CA
  • 09/2021 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-08-17
  • S63 Uniform Securities Agent State Law Examination
    2000-08-17
Designations
Other Names
  • Christine Brahm

View on SEC IAPD

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