Steven Richard Principe

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2009-06-01

TX RA
APPROVED_RES

Since 2009-06-01

Branch Locations

Concord, MA • United States

28 State Street 26Th Floor, Boston, MA 02109 • 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

Organization	City	State	From	To
Morgan Stanley & Co., Incorporated	Boston	MA	04/2007	Present
Morgan Stanley Smith Barney	Boston	MA	06/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

04/2007 → Present

Morgan Stanley & Co., Incorporated

Boston, MA
06/2009 → Present

Morgan Stanley Smith Barney

Boston, MA
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2008-10-15 → 2009-06-01

Morgan Stanley & Co. Llc

Boston, MA

Other Businesses

*417527- Concord Country Club; Investment related-No; concord, Massachusetts; Sports; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 11/2020; During business hours: 0; After business hours: 1; Administrative *259517 - Horizons for Homeless Children; Investment related: No; Roxbury , Massachusetts; Children/Youth ; Advisory Board (proprietor, partner, officer, director, employee, trustee, agent); 10/2022; During business hours: 0; After business hours: 1; Business Development/Growth

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-03-04
S63	Uniform Securities Agent State Law Examination	1999-12-16

S65 Uniform Investment Adviser Law Examination

2002-03-04
S63 Uniform Securities Agent State Law Examination

1999-12-16

View on SEC IAPD