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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-08-02
TX RA APPROVED 2009-06-01
WI RA APPROVED 2009-06-01
  • FL RA
    APPROVED
    Since 2021-08-02
  • TX RA
    APPROVED
    Since 2009-06-01
  • WI RA
    APPROVED
    Since 2009-06-01

Branch Locations

20975 Swenson Drive Suite 300, Waukesha, WI 53186 • United States

Bonita Springs, FL • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Waukesha WI 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Waukesha, WI
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Wauwatosa, WI
  • 2004-01-06 → 2007-04-02
    Morgan Stanley Dw Inc.
    Wauwatosa, WI
    Wauwatosa, WI
Other Businesses

1.Blackhawk Partners, LLC; Investment related: Yes; Oconomowoc, WI (Address: 128 E. Lisbon Road Oconomowoc, WI 53066) ; Rental Property; Owner(proprietor, partner, officer, director, employee, trustee, agent); Jan 2018; During business hours: 0; After business hours: 1; My wife and I are owner of the property. Attorney working on LLC. 2.Rental Property; Investment related: Yes; Oconomowoc, WI; Rental Property; Sole Proprietor / Owner / Partner(proprietor, partner, officer, director, employee, trustee, agent); Mar 2019; During business hours: 0; After business hours: 0; 3. *551492 - PGA of America- Wisconsin Chapter ; Investment related - No ; West Allis, Wisconsin ; Sports ; Board Member: Advisory Board(proprietor, partner, officer, director, employee, trustee, agent) ; 5/2023 ; During business hours : 0 ; After business hours : 3 ; Administrative:Marketing

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-06-12
S63 Uniform Securities Agent State Law Examination 1998-06-05
  • S65 Uniform Investment Adviser Law Examination
    1998-06-12
  • S63 Uniform Securities Agent State Law Examination
    1998-06-05

View on SEC IAPD

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