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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2022-02-16 |
| NY | RA | APPROVED | 2021-06-09 |
| TX | RA | APPROVED | 2021-04-28 |
Branch Locations
55 East 52Nd Street 12Th Floor, New York, NY 10055 • United States
Ridgefield, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc. | New York | NY | 10/2015 | 09/2016 |
| Raymond James & Associates, Inc. | New York | NY | 09/2016 | 04/2019 |
| Wells Fargo Clearing Services Llc | New York | NY | 04/2019 | 04/2021 |
| Morgan Stanley Smith Barney Llc | New York | NY | 04/2021 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 05/2021 | Present |
(1) 659663 - Mako Ventures 2025 LLC; Investment Related; Ridgefield, CT; Personal LLC to make an investment in a private equity fund - see OBI 658370; Sole Proprietor/Owner; Start 22-August-2025; During business hours: 0; After business hours: 0; Investment Decisions/Advice. (2) 664690 - Birdie Bright LLC; Investment Related; Ridgefield, CT; Commercial Battery Leasing; Sole Proprietor/Owner, Partner; Start 10-December-2025; During business hours: 0; After business hours: 2; Investment in commercial battery equipment and commercial battery equipment leasing.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-07-21 |
| S63 | Uniform Securities Agent State Law Examination | 2004-02-17 |
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