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Kristi Rae Lucero

Morgan Stanley

Philadelphia, PA

Philadelphia, PA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2023-10-30
TX RA APPROVED 2020-04-29
NM RA APPROVED 2016-09-26
  • PA RA
    APPROVED
    Since 2023-10-30
  • TX RA
    APPROVED
    Since 2020-04-29
  • NM RA
    APPROVED
    Since 2016-09-26

Branch Locations

1650 Market Street 42Nd Floor, Philadelphia, PA 19103 • United States

Philadelphia, PA • 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 Philadelphia PA 10/2015 Present
Morgan Stanley Private Bank, N.A. New York NY 06/2018 Present
  • 10/2015 → Present
    Morgan Stanley
    Philadelphia, PA
  • 06/2018 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
  • 2009-06-01 → 2010-04-26
    Morgan Stanley
    Albuquerque, NM
    Farmington, NM
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Albuquerque, NM
    Farmington, NM
    Durango, CO
  • 2003-07-16 → 2007-04-02
    Morgan Stanley Dw Inc.
    Farmington, NM
    Albuquerque, NM
    Durango, CO
    Farmington, NM
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-09-24
S63 Uniform Securities Agent State Law Examination 2016-08-27
S66 Uniform Combined State Law Examination 2001-08-04
  • S65 Uniform Investment Adviser Law Examination
    2016-09-24
  • S63 Uniform Securities Agent State Law Examination
    2016-08-27
  • S66 Uniform Combined State Law Examination
    2001-08-04
Other Names
  • Kristi Rae Vandenberg

View on SEC IAPD

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Other Offices

GLENMEDE INVESTMENT MANAGEMENT, LP · PHILADELPHIA, PA
CLARK CAPITAL MANAGEMENT GROUP INC · PHILADELPHIA, PA
GLOBAL ADVISERS, LLC · PHILADELPHIA, PA
BIOPHY CAPITAL MANAGEMENT LLC · PHILADELPHIA, PA
VERITABLE FINANCIALS LLC · PHILADELPHIA, PA
CHARLES SCHWAB & CO., INC. · Philadelphia, PA
J.P. MORGAN SECURITIES LLC · Philadelphia, PA
EAB INVESTMENT GROUP, LLC · Philadelphia, PA

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