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Thomas Aguna

Morgan Stanley

Brea, CA

CRD 5232360

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2020-06-08
TX RA APPROVED 2020-06-05
  • CA RA
    APPROVED
    Since 2020-06-08
  • TX RA
    APPROVED
    Since 2020-06-05

Branch Locations

Ten Pointe Drive Suite 400, Brea, CA 92821 • 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
OrganizationCityStateFromTo
Jpmorgan Chase Bank, Na Irvine CA 10/2009 06/2020
J.P. Morgan Securities Llc Newport Beach CA 03/2015 06/2020
Morgan Stanley Smith Barney Llc Brea CA 06/2020 Present
  • 10/2009 → 06/2020
    Jpmorgan Chase Bank, Na
    Irvine, CA
  • 03/2015 → 06/2020
    J.P. Morgan Securities Llc
    Newport Beach, CA
  • 06/2020 → Present
    Morgan Stanley Smith Barney Llc
    Brea, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-08-31
S63 Uniform Securities Agent State Law Examination 2009-11-17
  • S66 Uniform Combined State Law Examination
    2015-08-31
  • S63 Uniform Securities Agent State Law Examination
    2009-11-17
Other Names
  • Thomas Anthony Aguna
  • Thomas Anthony Aguna

View on SEC IAPD

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INVESTLINC WEALTH SERVICES · BREA, CA
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