Stephen Edward Dauer

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-03-08
KY	RA	APPROVED	2022-04-29
OH	RA	APPROVED	2009-06-02
TX	RA	APPROVED	2009-06-01

FL RA
APPROVED

Since 2024-03-08
KY RA
APPROVED

Since 2022-04-29
OH RA
APPROVED

Since 2009-06-02
TX RA
APPROVED

Since 2009-06-01

Branch Locations

Naples, FL • United States

7755 Montgomery Road 2Nd Floor, Cincinnati, OH 45236 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Cincinnati	OH	06/2009	Present
Morgan Stanley Private Bank, N.A.	New York	NY	01/2015	Present

06/2009 → Present

Morgan Stanley Smith Barney Llc

Cincinnati, OH
01/2015 → Present

Morgan Stanley Private Bank, N.A.

New York, NY

Previous Registrations

2001-11-26 → 2009-06-03

Ubs Financial Services Inc.

Cincinnati, OH

Cincinnati, OH
2009-05-29 → 2009-06-01

Morgan Stanley & Co. Llc

Cincinnati, OH

Other Businesses

*384142 - Ivy Lane Capital; Investment related; Transferring Ownership of a Condo unit to an LLC; Member of the LLC (proprietor, partner, officer, director, employee, trustee, agent); Nov 2019; During business hours: 0; After business hours: 1.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-10-09

S66 Uniform Combined State Law Examination

2001-10-09

View on SEC IAPD