Lee Stephen Neugebauer

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-06-16
NJ	RA	APPROVED	2020-08-14

NY RA
APPROVED

Since 2021-06-16
NJ RA
APPROVED

Since 2020-08-14

Branch Locations

888 Veterans Memorial Highway Suite 300, Hauppauge, NY 11788 • 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

Organization	City	State	From	To
J.P. Morgan Securities Llc	Commack	NY	10/2012	08/2020
Morgan Stanley Smith Barney Llc	Hauppague	NY	08/2020	Present
Morgan Stanley Private Bank, N.A	New York	NY	09/2020	Present

10/2012 → 08/2020

J.P. Morgan Securities Llc

Commack, NY
08/2020 → Present

Morgan Stanley Smith Barney Llc

Hauppague, NY
09/2020 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2012-10-01 → 2020-08-27

J.P. Morgan Securities Llc

Commack, NY

Commack, NY
2008-08-08 → 2012-10-01

Chase Investment Services Corp.

Commack, NY

East Northport, NY

Ronkonkoma, NY

Mount Sinai, NY

Hauppauge, NY

Hauppauge, NY

Bohemia, NY

Port Jefferson Station, NY

Medford, NY

Rocky Point, NY

Miller Place, NY

Medford, NY

Islandia, NY

Hauppauge, NY

Lake Ronkonkoma, NY

Commack, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-07-29
S63	Uniform Securities Agent State Law Examination	2004-03-09

S65 Uniform Investment Adviser Law Examination

2008-07-29
S63 Uniform Securities Agent State Law Examination

2004-03-09

Other Names

Lee Neugebauer

View on SEC IAPD

Current Employers

Morgan Stanley

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews