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Stacey Ness Swarbrick

Morgan Stanley

Deerfield, IL

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2010-03-10
IL RA APPROVED 2009-09-15
  • TX RA
    APPROVED
    Since 2010-03-10
  • IL RA
    APPROVED
    Since 2009-09-15

Branch Locations

111 South Pfingsten Road Suite 200, Deerfield, IL 60015 • 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 Llc Deerfield IL 06/2009 Present
Morgan Stanley Private Bank, N.A New York NY 07/2022 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    Deerfield, IL
  • 07/2022 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Other Businesses

*400354 - Trust; Investment related Yes; Chicago, IL; Jan 2025; During business hours: 0.5; After business hours: 0.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-09-14
S63 Uniform Securities Agent State Law Examination 2009-08-13
  • S65 Uniform Investment Adviser Law Examination
    2009-09-14
  • S63 Uniform Securities Agent State Law Examination
    2009-08-13
Other Names
  • Stacey Ann Ness

View on SEC IAPD

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Other Offices

CAPITAL RESOURCE MANAGEMENT,INC. · DEERFIELD, IL
ROBERTS, GLORE & CO. · DEERFIELD, IL
PICKWICK WEALTH MANAGEMENT · DEERFIELD, IL
OSAIC WEALTH, INC. · DEERFIELD, IL
WAVERLY ADVISORS, LLC · Deerfield, IL
LPL FINANCIAL LLC · Deerfield, IL
NADLER FINANCIAL GROUP, INC. · DEERFIELD, IL
PARKSIDE INVESTMENTS, LLC · DEERFIELD, IL

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