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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-20
AZ RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-02-20
  • AZ RA
    APPROVED
    Since 2009-06-01

Branch Locations

2398 E Camelback Rd, Phoenix, AZ 85016 • United States

Flagstaff, AZ • 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
Citigroup Global Markets Inc. Scottsdale AZ 08/1998 Present
Morgan Stanley Smith Barney Scottsdale AZ 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 08/1998 → Present
    Scottsdale, AZ
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Scottsdale, AZ
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
Other Businesses

*599439 - Forest Highlands Oversight Committee; Investment Related - No; Flagstaff, Arizona; Civic/Community; Investment Committee (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 06/2024; During Business Hours: 0; After Business Hours: 1; Administrative.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-10-08
S63 Uniform Securities Agent State Law Examination 1997-11-19
  • S65 Uniform Investment Adviser Law Examination
    1998-10-08
  • S63 Uniform Securities Agent State Law Examination
    1997-11-19

View on SEC IAPD

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