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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2022-09-29 |
| CA | RA | APPROVED | 2021-02-11 |
Branch Locations
Weddington, NC • United States
13024 Ballantyne Corporate Place Suite 150, Charlotte, NC 28277 • 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 |
|---|---|---|---|---|
| Unionbanc Investment Services | Newport Beach | CA | 04/2006 | 02/2021 |
| Morgan Stanley Smith Barney Llc | Charlotte | NC | 02/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 05/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-08-16 |
| S63 | Uniform Securities Agent State Law Examination | 2000-02-05 |
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