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Tom Alan Dowse

Morgan Stanley

Napa, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2014-07-09
  • CA RA
    APPROVED
    Since 2014-07-09

Branch Locations

700 Main Street Suite 315, Napa, CA 94559 • 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 Napa CA 06/2014 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2014 → Present
    Morgan Stanley
    Napa, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 1997-07-08 → 2012-01-12
    Dowse Securities Management Corp
    Napa, CA
Other Businesses

DOWSE SECURITIES MANAGEMENT CORPORATION; PRESIDENT/CEO; INVESTMENT RELATED; 6/2014; 1 HOUR DURING 1 HOUR AFTER BUSINESS; NAPA, CA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-07-09
  • S66 Uniform Combined State Law Examination
    2014-07-09

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NAPA, CA
HARRINGTON INVESTMENTS, INC. · NAPA, CA
LPL FINANCIAL LLC · NAPA, CA
HARRINGTON INVESTMENTS, INC. · NAPA, CA
WELLS FARGO CLEARING SERVICES, LLC · NAPA, CA
5T WEALTH, LLC · NAPA, CA
BENEFITS PLUS, LLC · NAPA, CA
LPL FINANCIAL LLC · NAPA, CA

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