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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-16 |
| TX | RA | APPROVED_RES | 2014-03-03 |
Branch Locations
55 East 52Nd Street 12Th Floor, New York, NY 10055 • United States
Breezy Point, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | New York | NY | 01/2001 | Present |
| Morgan Stanley Smith Barney | New York | NY | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. WINDHAM MOUNTAIN-RECREATION/ENTERTAINMENT; NON INVESTMENT RELATED; 33 CLARENCE D LANE RD, WINDHAM NY; VOLUNTEER SKI PATR5OLLER; 55 HOURS PER MONTH DURING 4 WINTER MONTHS; 0 DURING SECURITIES TRADING HOURS; MARK TERRAIN, CHECK FOR SAFETY HAZARDS, RESPOND TO FIRST AID/MEDICAL EMERGENCIES, TREAT AND TRANSPORT PATIENTS TO THE BASE MOUNTAIN FIRST AID ROOM
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 2003-01-17 |
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