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Philip Craig Horowitz

Morgan Stanley

San Mateo, 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 2020-02-20
CA RA APPROVED 2012-07-13
  • TX RA
    APPROVED_RES
    Since 2020-02-20
  • CA RA
    APPROVED
    Since 2012-07-13

Branch Locations

411 Borel Avenue Suite 220, San Mateo, CA 94402 • 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 Menlo Park CA 05/2012 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 05/2012 → Present
    Morgan Stanley Smith Barney
    Menlo Park, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2007-08-29 → 2012-01-12
    Whv Investments, Inc.
    San Francisco, CA
    San Francisco, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2009-02-13
S65 Uniform Investment Adviser Law Examination 2007-03-12
  • S63 Uniform Securities Agent State Law Examination
    2009-02-13
  • S65 Uniform Investment Adviser Law Examination
    2007-03-12
Other Names
  • Phil Horowitz

View on SEC IAPD

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Other Offices

NEWFRONT RETIREMENT SERVICES, INC. · SAN MATEO, CA
ESO MANAGEMENT SERVICES LLC · SAN MATEO, CA
FARMERS ASSET MANAGEMENT, LLC · San Mateo, CA
EAGLE STRATEGIES LLC · SAN MATEO, CA
LPL FINANCIAL LLC · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA
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