Deborah Jean Tharp

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2015-08-27
CA	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2015-08-27
CA RA
APPROVED

Since 2009-06-01

Branch Locations

Palm Springs, CA • United States

1999 Harrison Street Suite 2200, Oakland, CA 94612 • United States

Alameda, CA • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Palm Springs	CA	06/2009	02/2024
Morgan Stanley Private Bank, N.A.	New York	NY	01/2015	Present
Morgan Stanley Smith Barney Llc	Alameda	CA	02/2024	Present

06/2009 → 02/2024

Morgan Stanley Smith Barney Llc

Palm Springs, CA
01/2015 → Present

Morgan Stanley Private Bank, N.A.

New York, NY
02/2024 → Present

Morgan Stanley Smith Barney Llc

Alameda, CA

Previous Registrations

1998-10-13 → 2009-06-01

Citigroup Global Markets Inc.

San Francisco, CA

San Francisco, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-09-04
S63	Uniform Securities Agent State Law Examination	1998-09-02

S65 Uniform Investment Adviser Law Examination

1998-09-04
S63 Uniform Securities Agent State Law Examination

1998-09-02

Other Names

Deborah J Tharp

View on SEC IAPD