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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 | 2021-06-09 |
| TX | RA | APPROVED | 2020-04-15 |
| CT | RA | APPROVED | 2019-10-05 |
Branch Locations
399 Park Avenue 12Th Floor, New York, NY 10022 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 05/2006 | 06/2019 |
| Morgan Stanley | New York | NY | 08/2019 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 08/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-10-05 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-19 |
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