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James R Angwin

Morgan Stanley

Garden City, NY

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-01-26
NY RA APPROVED 2021-12-15
  • TX RA
    APPROVED_RES
    Since 2022-01-26
  • NY RA
    APPROVED
    Since 2021-12-15

Branch Locations

1200 Franklin Avenue 2Nd Floor, Garden City, NY 11530 • 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
Tiaa New York NY 12/2006 11/2020
Tiaa-Cref Individual & Institutional Services, Llc New York NY 12/2006 11/2020
Morgan Stanley Smith Barney Llc Garden City NY 12/2021 Present
Unemployed Glen Oaks NY 11/2020 12/2021
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-10-12
S63 Uniform Securities Agent State Law Examination 1996-09-05
  • S65 Uniform Investment Adviser Law Examination
    2006-10-12
  • S63 Uniform Securities Agent State Law Examination
    1996-09-05
Other Names
  • James Richard Angwin

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
ARKADIOS WEALTH ADVISORS
CETERA INVESTMENT ADVISERS LLC
BRIXTON CAPITAL WEALTH ADVISORS, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
OSAIC WEALTH, INC.
COMMONWEALTH FINANCIAL NETWORK
LESLIE MARIE GIORDANO

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
ARKADIOS WEALTH ADVISORS · Garden City, NY
CETERA INVESTMENT ADVISERS LLC · Garden City, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
CETERA INVESTMENT ADVISERS LLC · GARDEN CITY, NY
BRIXTON CAPITAL WEALTH ADVISORS, LLC · GARDEN CITY, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Garden City, NY
OSAIC WEALTH, INC. · GARDEN CITY, NY

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