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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-15
AL RA APPROVED 2015-03-30
  • TX RA
    APPROVED_RES
    Since 2020-04-15
  • AL RA
    APPROVED
    Since 2015-03-30

Branch Locations

305 Church Street, Huntsville, AL 35801 • United States

300 Market Street Ne Suite 101, Decatur, AL 35601 • 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 Huntsville AL 06/2009 Present
Morgan Stanley Smith Barney Llc Decatur AL 11/2019 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    Huntsville, AL
  • 11/2019 → Present
    Morgan Stanley Smith Barney Llc
    Decatur, AL
Other Businesses

*394381 - Lawrence County Alabama Commission; Investment Related - No; Moulton, Alabama; Government; Election Poll Official (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 07/2020; During Business Hours: 15; After Business Hours: 0; Administrative.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-03-28
S63 Uniform Securities Agent State Law Examination 2011-02-28
  • S65 Uniform Investment Adviser Law Examination
    2015-03-28
  • S63 Uniform Securities Agent State Law Examination
    2011-02-28

View on SEC IAPD

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