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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-04-12 |
| NY | RA | APPROVED | 2023-04-12 |
| TX | RA | APPROVED | 2023-04-12 |
Branch Locations
55 East 52Nd Street 12Th Floor, New York, NY 10055 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 07/2007 | 06/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 06/2017 | 10/2022 |
| Bank Of America, N.A. | New York | NY | 06/2017 | 10/2022 |
| First Republic Securities Company, Llc | New York | NY | 10/2022 | 04/2023 |
| First Republic Investment Management, Inc. | New York | NY | 10/2022 | 04/2023 |
| Morgan Stanley Smith Barney Llc | New York | NY | 04/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 04/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 2001-05-08 |
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