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Michael E. Appleton

Morgan Stanley

San Francisco, CA

Moraga, CA

CRD 2812104

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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
CA RA APPROVED 2009-06-01
TX RA APPROVED_RES 2009-06-01
  • CA RA
    APPROVED
    Since 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2009-06-01

Branch Locations

555 California Street Pwm, San Francisco, CA 94104 • United States

Moraga, CA • 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 San Francisco CA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    San Francisco, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2002-12-20 → 2009-06-01
    Morgan Stanley & Co. Llc
    San Franciso, CA
    San Francisco, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-06-10
S65 Uniform Investment Adviser Law Examination 1998-02-24
  • S63 Uniform Securities Agent State Law Examination
    1998-06-10
  • S65 Uniform Investment Adviser Law Examination
    1998-02-24
Other Names
  • Michael Edward Appleton

View on SEC IAPD

Nearby Firms

FORT POINT CAPITAL PARTNERS LLC
DIVISAR CAPITAL MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.

Nearby Investors

TIMOTHY TODD MCDOWELL
JOHN HUGH MCDEVITT
JOSEPH WADE PITTS

Nearby Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA

More in San Francisco, CA

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