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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-08-30
TX RA APPROVED_RES 2023-08-25
  • AZ RA
    APPROVED
    Since 2023-08-30
  • TX RA
    APPROVED_RES
    Since 2023-08-25

Branch Locations

Flagstaff, AZ • United States

2398 E Camelback Rd, Phoenix, AZ 85016 • 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 Phoenix AZ 11/2008 08/2023
Bank Of America, N.A. Phoenix AZ 09/2009 08/2023
Morgan Stanley Smith Barney Llc Phoenix AZ 08/2023 Present
Morgan Stanley Private Bank, N.A New York NY 09/2023 Present
  • 11/2008 → 08/2023
    Phoenix, AZ
  • 09/2009 → 08/2023
    Bank Of America, N.A.
    Phoenix, AZ
  • 08/2023 → Present
    Morgan Stanley Smith Barney Llc
    Phoenix, AZ
  • 09/2023 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Other Businesses

ST. VINCENT DE PAUL / NON-INVESTMENT RELATED / PHOENIX, AZ / CHARITABLE ORGANIZATION / ADVISORY BOARD MEMBER / START 01-MARCH-2017 / 10 HOURS DEVOTED MONTHLY / 0 DURING TRADING HOURS / MEMBER ON THE ADVISORY BOARD; WORK TO HELP WITH ADVOCACY, ORGANIZATIONAL DIRECTION AND FUNDRAISING. *569061- TYFYTITE PROPERTIES, LLC; Investment related Yes; Phoenix, Arizona; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 08/2023; During business hours: 0; After business hours: 5; Rental property duties *569063- HEAD TURNER PROPERTIES LLC; Investment related Yes; Phoenix, Arizona; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 10/2023; During business hours: 0; After business hours: 5; real estate duties *590173- Girl Scouts of America, Cactus-Pines COuncil; Investment related: No; Phoenix, Arizona; Children/Youth, Civic/Community; Board Member, Investment Committee (proprietor, partner, officer, director, employee, trustee, agent); 04/2024; During business hours: 0; After business hours: 10; Administrative

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-01-23
S63 Uniform Securities Agent State Law Examination 1997-11-12
  • S66 Uniform Combined State Law Examination
    2009-01-23
  • S63 Uniform Securities Agent State Law Examination
    1997-11-12
Other Names
  • Neil Mohan Rao
  • Nihaal M Rao

View on SEC IAPD

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