Anthony James Montgomery

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2011-03-04
CA	RA	APPROVED	2009-06-01

TX RA
APPROVED

Since 2011-03-04
CA RA
APPROVED

Since 2009-06-01

Branch Locations

14850 North Scottsdale Road Suite 600, Scottsdale, AZ 85254 • 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
Morgan Stanley Smith Barney	Scottsdale	AZ	06/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

06/2009 → Present

Morgan Stanley Smith Barney

Scottsdale, AZ
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Scottsdale, AZ
2006-06-19 → 2007-04-02

Morgan Stanley Dw Inc.

Scottsdale, AZ

Other Businesses

TO SERVE AS PRESIDENT OF THE NOTRE DAME PREPARATORY HIGHS SCHOOL BOOSTER CLUB (THE "ENTITY").

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-06-15
S63	Uniform Securities Agent State Law Examination	2004-04-23

S65 Uniform Investment Adviser Law Examination

2006-06-15
S63 Uniform Securities Agent State Law Examination

2004-04-23

Other Names

Tony James Montgomery

View on SEC IAPD