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Patricia Lynne Braun

Morgan Stanley

Cleveland, OH

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2022-10-30
TX RA APPROVED 2022-10-28
  • OH RA
    APPROVED
    Since 2022-10-30
  • TX RA
    APPROVED
    Since 2022-10-28

Branch Locations

200 Public Square Suite 2600, Cleveland, OH 44114 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pepper Pike OH 06/1998 10/2022
Morgan Stanley Smith Barney Llc Cleveland OH 10/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-28
S63 Uniform Securities Agent State Law Examination 1998-02-16
  • S65 Uniform Investment Adviser Law Examination
    1998-09-28
  • S63 Uniform Securities Agent State Law Examination
    1998-02-16
Other Names
  • Patti Braun

View on SEC IAPD

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