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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2022-02-18 |
| NY | RA | APPROVED | 2021-06-16 |
| CT | RA | APPROVED | 2020-08-14 |
| TX | RA | APPROVED_RES | 2020-08-10 |
Branch Locations
55 East 52Nd Street 28Th Floor, New York, NY 10055 • 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 |
|---|---|---|---|---|
| Bank Of America, N.A. | New York | NY | 02/2012 | 08/2020 |
| Morgan Stanley Smith Barney Llc | New York | NY | 08/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 08/2020 | Present |
1. *408691 - Trust; Investment related -Yes; Middletown, New Jersey; Trustee; 05/2017; During business hours: 0.25; After business hours: 0; 2. *408693 - Trust; Investment related -Yes; Middletown, New Jersey; Trustee; 05/2017; During business hours: 0.25; After business hours: 0;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-01-20 |
| S63 | Uniform Securities Agent State Law Examination | 2003-04-04 |
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