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Phyllis Sue Gau

Morgan Stanley

Davenport, IA

Lakewood Ranch, FL

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-03-16
TX RA APPROVED_RES 2011-08-30
IL RA APPROVED 2009-06-01
IA RA APPROVED 2009-06-01
  • FL RA
    APPROVED
    Since 2022-03-16
  • TX RA
    APPROVED_RES
    Since 2011-08-30
  • IL RA
    APPROVED
    Since 2009-06-01
  • IA RA
    APPROVED
    Since 2009-06-01

Branch Locations

4300 East 53Rd Street Suite 300, Davenport, IA 52807 • United States

Lakewood Ranch, FL • 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 & Co., Incorporated Moline IL 04/2007 Present
Morgan Stanley Smith Barney Moline IL 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 04/2007 → Present
    Morgan Stanley & Co., Incorporated
    Moline, IL
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Moline, IL
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Moline, IL
  • 2004-10-29 → 2007-04-02
    Morgan Stanley Dw Inc.
    Moline, IL
    Moline, IL
  • 2000-07-28 → 2004-11-12
    Citigroup Global Markets Inc.
    Davenport, IA
Other Businesses

JUNIOR ACHIEVEMENT OF THE QUAD CITIES VOLUNTEER TEACHER

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-05-02
S63 Uniform Securities Agent State Law Examination 1996-06-28
  • S66 Uniform Combined State Law Examination
    2000-05-02
  • S63 Uniform Securities Agent State Law Examination
    1996-06-28
Other Names
  • Phyllis Jasper

View on SEC IAPD

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ROBERT W. BAIRD & CO. INCORPORATED
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210 FINANCIAL
MML INVESTORS SERVICES, LLC

Other Investors

BRENT WILLIAM MCCORMICK
CHAD EDWARD LEWIS
ANDREW JOHN TRASOWECH
ELIZABETH JO BEHRENDS
Thomas James McCormick
Megan N Obenauf
JAMES MICHAEL SHRADER
VICTORIA JEAN RAMIREZ

Other Offices

ROBERT W. BAIRD & CO. INCORPORATED · Quad Cities, IA
EDWARD JONES · Davenport, IA
MATHESON & ROCK WEALTH MANAGEMENT, LLC · DAVENPORT, IA
STATE FARM INVESTMENT MANAGEMENT CORP. · Davenport, IA
STATE FARM INVESTMENT MANAGEMENT CORP. · DAVENPORT, IA
EDWARD JONES · DAVENPORT, IA
REDHAWK WEALTH ADVISORS, INC. · DAVENPORT, IA
THRIVENT INVESTMENT MANAGEMENT INC. · DAVENPORT, IA

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