Mark Allen Kaye

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Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-08-28

TX RA
APPROVED

Since 2020-08-28

Branch Locations

8701 Bee Caves Road Suite 300, Austin, TX 78746 • 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
Ubs Financial Services Inc.	Houston	TX	01/2012	08/2020
Morgan Stanley Smith Barney Llc	Austin	TX	08/2020	Present
Morgan Stanley Private Bank, N.A	New York	NY	09/2020	Present

01/2012 → 08/2020

Ubs Financial Services Inc.

Houston, TX
08/2020 → Present

Morgan Stanley Smith Barney Llc

Austin, TX
09/2020 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2012-01-17 → 2020-09-08

Ubs Financial Services Inc.

Houston, TX
2008-01-01 → 2012-01-18

Wells Fargo Clearing Services, Llc

Houston, TX
2006-12-18 → 2008-01-01

A. G. Edwards & Sons, Inc.

Houston, TX

St. Louis, MO

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-12-15

S66 Uniform Combined State Law Examination

2006-12-15

View on SEC IAPD

Other Firms

AUSTIN MONEY MANAGEMENT CORPORATION

EVERLONG FINANCIAL

HARRELL INVESTMENT PARTNERS, LLC

WEATHERGAGE CAPITAL, LLC

LBJ FAMILY WEALTH ADVISORS, LTD.

JAMES S. MARROQUIN, CFP

OSAIC WEALTH, INC.

Other Investors

STEVEN DOUGLAS AYCOCK

ALEXANDER BURTON YEAGER

Jonathan Martin Haefner

David Nathan Van Winkle

DILDA DEEPAK DALVI

ANNA VICTORIA BODINE

Stephanie Caroline Morgan

ROBERT KING HARRELL

Other Offices

AUSTIN MONEY MANAGEMENT CORPORATION · AUSTIN, TX

EVERLONG FINANCIAL · AUSTIN, TX

EDWARD JONES · Austin, TX

HARRELL INVESTMENT PARTNERS, LLC · AUSTIN, TX

WEATHERGAGE CAPITAL, LLC · AUSTIN, TX

LBJ FAMILY WEALTH ADVISORS, LTD. · AUSTIN, TX

JAMES S. MARROQUIN, CFP · AUSTIN, TX

OSAIC WEALTH, INC. · AUSTIN, TX

More in Austin, TX

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