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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-08
GA RA APPROVED 2014-01-15
  • TX RA
    APPROVED_RES
    Since 2020-04-08
  • GA RA
    APPROVED
    Since 2014-01-15

Branch Locations

2400 Lakeview Parkway Suite 300, Alpharetta, GA 30009 • United States

Alpharetta, GA • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Alpharetta GA 01/2014 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 01/2014 → Present
    Alpharetta, GA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2013-01-02 → 2014-01-17
    Bb&T Securities, Llc
    Alpharetta, GA
  • 2007-10-16 → 2013-01-02
    Scott & Stringfellow, Llc
    Alpharetta, GA
    Alpharetta, GA
Other Businesses

GRIM ROOSTER AND ROCKET 350,MUSICIAN

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-09-27
S63 Uniform Securities Agent State Law Examination 2003-05-01
  • S65 Uniform Investment Adviser Law Examination
    2007-09-27
  • S63 Uniform Securities Agent State Law Examination
    2003-05-01

View on SEC IAPD

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