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Stephanie Mozur Smith

Morgan Stanley

San Rafael, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-03-08
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2011-03-08
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

1101 5Th Avenue Suite 275, San Rafael, CA 94901 • 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 San Rafael CA 06/2009 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    San Rafael, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-05-14
S63 Uniform Securities Agent State Law Examination 2005-05-09
  • S66 Uniform Combined State Law Examination
    2007-05-14
  • S63 Uniform Securities Agent State Law Examination
    2005-05-09
Other Names
  • Stephanie Irene Mozur
  • Stephanie Mozur Smith

View on SEC IAPD

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Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · SAN RAFAEL, CA
HCM WEALTH · SAN RAFAEL, CA
O'DONNELL FINANCIAL SERVICES, LLC · SAN RAFAEL, CA
MADRONE INVESTMENT ADVISORY, LLC · SAN RAFAEL, CA
FIDUCIARY FINANCIAL GROUP, LLC · SAN RAFAEL, CA
INDEPENDENT FINANCIAL GROUP, LLC · San Rafael, CA
EDWARD JONES · San Rafael, CA
HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC. · SAN RAFAEL, CA

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