Alexander S Pugatch

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
NY	RA	APPROVED	2021-06-16
TX	RA	APPROVED_RES	2016-07-08
NJ	RA	APPROVED	2013-04-10

NY RA
APPROVED

Since 2021-06-16
TX RA
APPROVED_RES

Since 2016-07-08
NJ RA
APPROVED

Since 2013-04-10

Branch Locations

2000 Westchester Avenue 1Nc, Purchase, NY 10577 • 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 Smith Barney Llc	Purchase	NY	02/2013	Present
Morgan Stanley Private Bank, N.A.	New York	NY	01/2015	Present

02/2013 → Present

Morgan Stanley Smith Barney Llc

Purchase, NY
01/2015 → Present

Morgan Stanley Private Bank, N.A.

New York, NY

Other Businesses

NAME OF BUSINESS: ASP VENTURES LLC; INVESTMENT-RELATED? YES; ADDRESS: 5400 OLD COURT ROAD, SUITE 202, RANDALLSTOWN, MD 21133; NATURE OF BUSINESS: EQUITY INVESTMENTS / LOANS IN OTHER COMPANIES; POSITION/TITLE/RELATIONSHIP: MANAGING MEMBER; START DATE OF RELATIONSHIP: 9/17/2012; NUMBER OF HOURS/MO. DEVOTED (INCLUDING DURING SECURITIES TRADING HOURS): 0.33; DUTIES: MANAGING MEMBER, PASSIVE ACTIVITY. *424326 - Armonk Baseball League; Investment related No; Armonk, New York; Non-Profit; Board Member, Finance Committee (proprietor, partner, officer, director, employee, trustee, agent); March 2021; During business hours: 0; After business hours: 10; Accounting/Bookkeeping, Check Signing/Funds Disbursements. *689- The Herb Cohen Memorial Fund; Investment related: No; Philadelphia, Pennsylvania; Children/Youth, Economic Assistance; Board Member, Finance Committee (proprietor, partner, officer, director, employee, trustee, agent); 10/2023; During business hours: 0; After business hours: 4; Accounting/Bookkeeping, Check Signing/Funds Disbursements

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-04-09
S63	Uniform Securities Agent State Law Examination	2006-11-15

S66 Uniform Combined State Law Examination

2013-04-09
S63 Uniform Securities Agent State Law Examination

2006-11-15

View on SEC IAPD