Marianna Frederick Pauls

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Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-05-22
TX	RA	APPROVED	2025-05-22

CA RA
APPROVED

Since 2025-05-22
TX RA
APPROVED

Since 2025-05-22

Branch Locations

411 Borel Avenue Suite 220, San Mateo, CA 94402 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Citigroup Global Markets,Inc	Palo Alto	CA	10/2007	05/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated	San Francisco	CA	05/2022	05/2023
Morgan Stanley	San Mateo	CA	05/2025	Present
Various Entities	Fremont	CA	06/2023	04/2025

10/2007 → 05/2022

Citigroup Global Markets,Inc

Palo Alto, CA
05/2022 → 05/2023

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Francisco, CA
05/2025 → Present

Morgan Stanley

San Mateo, CA
06/2023 → 04/2025

Various Entities

Fremont, CA

Previous Registrations

2022-07-14 → 2023-05-26

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Francisco, CA
2007-11-07 → 2022-06-09

Citigroup Global Markets Inc.

San Francisco, CA

Palo Alto, CA

Palo Alto, CA

San Francisco, CA

Palo Alto, CA
2005-02-02 → 2007-10-09

Planmember Securities Corporation

Carpinteria, CA

Carpinteria, CA

Carpinteria, CA
2003-04-28 → 2003-09-08

Ameriprise Financial Services, Llc

San Francisco, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-04-25

S66 Uniform Combined State Law Examination

2003-04-25

Other Names

Marianna Frederick
Marianna Frederick Pauls
Marianna Frederick
Marianna Frederick Pauls
Marianna Pauls
Marianna Frederick Pauls
Marianna Frederick Pauls

View on SEC IAPD

Other Firms

NEWFRONT RETIREMENT SERVICES, INC.

ESO MANAGEMENT SERVICES LLC

FARMERS ASSET MANAGEMENT, LLC

EAGLE STRATEGIES LLC

LPL FINANCIAL LLC

FISHER INVESTMENTS

TRANSAMERICA FINANCIAL ADVISORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

Other Investors

MARCOS D PASTRANA

DEAN ALAN BECKER

SCOTT BARTLETT MCCLOSKEY

CHRISTIAN MICHAEL BRETZ

CHRISTOPHER JAMES CALL

CLAY DEAN WILLIAM STAFFORD

Other Offices

NEWFRONT RETIREMENT SERVICES, INC. · SAN MATEO, CA

ESO MANAGEMENT SERVICES LLC · SAN MATEO, CA

FARMERS ASSET MANAGEMENT, LLC · San Mateo, CA

EAGLE STRATEGIES LLC · SAN MATEO, CA

LPL FINANCIAL LLC · SAN MATEO, CA

FISHER INVESTMENTS · SAN MATEO, CA

FISHER INVESTMENTS · SAN MATEO, CA

FISHER INVESTMENTS · SAN MATEO, CA

More in San Mateo, CA

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