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Morgan Stanley CRD 149777
$1.96T regulatory AUM 416,984 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2020-07-27 |
| TX | RA | APPROVED_RES | 2020-07-21 |
Branch Locations
1650 Market Street 42Nd Floor, Philadelphia, PA 19103 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Goldman, Sachs & Co. | Philadelphia | PA | 08/1998 | 07/2020 |
| Morgan Stanley Smith Barney Llc | Philadelphia | PA | 07/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 09/2020 | Present |
598345 - X - Avier LLC; Investment Related - Yes; Philadelphia, Pennsylvania; hold the commercial rights to a musical (Little Things); Sole Proprietor/Owner, Officer (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 07/2024; During Business Hours: 0; After Business Hours: 8; Administrative, Sales/Marketing, Check Signing/Funds Disbursements.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-07-20 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-04 |
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