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Sandra Lee Ballard

Morgan Stanley

Bardstown, KY

Louisville, KY

CRD 4442953

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Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-10-26
KY RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2015-10-26
  • KY RA
    APPROVED
    Since 2009-06-01

Branch Locations

Bardstown, KY • United States

4969 Us Highway 42 Suite 1200, Louisville, KY 40222 • 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 Smith Barney Louisville KY 06/2009 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Louisville, KY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-08-25
S63 Uniform Securities Agent State Law Examination 2002-02-26
  • S65 Uniform Investment Adviser Law Examination
    2005-08-25
  • S63 Uniform Securities Agent State Law Examination
    2002-02-26
Other Names
  • Sandra Lee Patterson

View on SEC IAPD

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