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Morgan Stanley CRD 149777
$1.96T regulatory AUM 416,984 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-11-15 |
| TX | RA | APPROVED | 2024-11-15 |
Branch Locations
555 California Street 35Th Floor, San Francisco, CA 94104 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 09/2010 | 05/2018 |
| Bank Of America, N.A. | San Francisco | CA | 08/2011 | 05/2018 |
| Rbc Capital Markets, Llc | San Francisco | CA | 05/2018 | 11/2024 |
| Morgan Stanley Smith Barney Llc | San Francisco | CA | 11/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 12/2024 | Present |
621529 - Sisk Rental Property; Investment Related - Yes; San Francisco, California; Real Estate; Sole Proprietor/Owner (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 08/2018; During Business Hours: 0; After Business Hours: 5; Property Management.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-08-18 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-16 |
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