David Paul Swartz

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-05-13

TX RA
APPROVED_RES

Since 2020-05-13

Branch Locations

112 Worcester Street, Wellesley, MA 02481 • 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
Morgan Stanley & Co., Incorporated	Wellesley	MA	04/2007	Present
Morgan Stanley	Wellesley	MA	06/2009	Present

04/2007 → Present

Morgan Stanley & Co., Incorporated

Wellesley, MA
06/2009 → Present

Morgan Stanley

Wellesley, MA

Other Businesses

1. OWN A VACATION HOME; INVESTMENT RELATED; .50 HOURS OUTSIDE BUSINESS HOURS; RESPONSIBLE FOR RENTAL PROPERTY; Newport RI 02840 2. FINRA; Non Investment related; Government / Municipality / Political; FINRA arbitrator; Jan/2015; During business hours: 0; After business hours: 0

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-03-28
S63	Uniform Securities Agent State Law Examination	2000-03-16

S66 Uniform Combined State Law Examination

2000-03-28
S63 Uniform Securities Agent State Law Examination

2000-03-16

Other Names

David P Swartz

View on SEC IAPD

Current Employers

Morgan Stanley

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews