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Kevin Ainslie Shimmel

Morgan Stanley

Roseville, 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 2020-03-03
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-03-03
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

1478 Stone Point Drive Suite 500, Roseville, CA 95661 • 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 Sacramento CA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Sacramento, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Sacramento, CA
  • 2002-06-24 → 2007-04-02
    Morgan Stanley Dw Inc.
    Sacramento, CA
    Sacramento, CA
Other Businesses

*493261 - Trust; Investment related - Yes; Rocklin, California; 02/2012; During business hours: 0; After business hours: 1

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-10-09
S63 Uniform Securities Agent State Law Examination 2001-04-09
  • S65 Uniform Investment Adviser Law Examination
    2001-10-09
  • S63 Uniform Securities Agent State Law Examination
    2001-04-09

View on SEC IAPD

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MERCER GLOBAL ADVISORS INC.
NORTHROCK PARTNERS, LLC

Other Investors

KHOLT T. MULDERRIG
Christopher Bruce Stephenson
Kristofer Louis Jones
DANIEL HAVEN FULLER
Zachary Ward Scholfield
JULIA RAMONA SHILES
EDWARD JOSEPH BUNTING
BRADLEY SCOTT SULLIVAN

Other Offices

DCA FAMILY OFFICE, LLC · ROSEVILLE, CA
DCA MANAGEMENT COMPANY, INC. · ROSEVILLE, CA
MUTUAL ADVISORS, LLC · Roseville, CA
DCA FAMILY OFFICE, LLC · Roseville, CA
COMMONWEALTH FINANCIAL NETWORK · Roseville, CA
EDWARD JONES · ROSEVILLE, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Roseville, CA
MERCER GLOBAL ADVISORS INC. · ROSEVILLE, CA

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