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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-19 |
| TX | RA | APPROVED_RES | 2021-10-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Bank, N.A. | New York | NY | 12/2015 | 01/2021 |
| Td Private Client Wealth Llc | New York | NY | 12/2015 | 01/2021 |
| Morgan Stanley | New York | NY | 10/2021 | Present |
| Unemployed | New York | NY | 01/2021 | 10/2021 |
*460579 - Battery Pointe Board of Managers; Investment related - No; New York, NY; Civic/Religious/Community; Board Member, Officer (proprietor, partner, officer, director, employee, trustee, agent); April 2015; During business hours: 0; After business hours: 1; Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-03-18 |
| S63 | Uniform Securities Agent State Law Examination | 2001-06-26 |
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