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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 | 2021-10-04 |
| TX | RA | APPROVED | 2021-10-01 |
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 |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | San Francisco | CA | 02/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Francisco | CA | 11/2016 | 10/2021 |
| Morgan Stanley Smith Barney Llc | San Francisco | CA | 10/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 11/2021 | Present |
*461246- Rental Property; Investment related -Yes; San Francisco, California; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 10/2021; During business hours: 0; After business hours: 2; Administrative, Property Management
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-01-11 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-26 |
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