William E Schwartz

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-10-16
TX	RA	APPROVED_RES	2022-10-05
NY	RA	APPROVED	2021-06-16
NJ	RA	APPROVED	2009-06-01

CA RA
APPROVED

Since 2023-10-16
TX RA
APPROVED_RES

Since 2022-10-05
NY RA
APPROVED

Since 2021-06-16
NJ RA
APPROVED

Since 2009-06-01

Branch Locations

2000 Westchester Ave (Home Office), Purchase, NY 10577 • United States

74199 El Paseo Suite 201, Palm Desert, CA 92260 • 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Palm Desert	CA	06/2009	Present

06/2009 → Present

Morgan Stanley Smith Barney Llc

Palm Desert, CA

Previous Registrations

2008-04-30 → 2009-06-01

Morgan Stanley & Co. Llc

New York, NY
1998-02-19 → 2008-04-11

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

New York, NY

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1998-01-27

S66 Uniform Combined State Law Examination

1998-01-27

Other Names

Bill Schwartz
William E Schwartz
William Edwin Schwartz
William Schwartz

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