Joshua Paul Dopp

Santa Monica, CA

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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_RES	2018-12-13
CA	RA	APPROVED	2013-06-18

TX RA
APPROVED_RES

Since 2018-12-13
CA RA
APPROVED

Since 2013-06-18

Branch Locations

100 Wilshire Boulevard Suite 1900, Santa Monica, CA 90401 • 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	Santa Monica	CA	06/2013	Present

06/2013 → Present

Morgan Stanley Smith Barney Llc

Santa Monica, CA

Previous Registrations

2013-02-25 → 2013-06-04

Rbc Securities, Inc

Los Angeles, CA
2007-04-05 → 2013-02-19

Oppenheimer & Co. Inc.

Los Angeles, CA
2013-01-31 → 2013-01-31

Rbc Securities, Inc
2007-02-02 → 2007-03-02

Ameriprise Financial Services, Llc

Los Angeles, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-02-01

S66 Uniform Combined State Law Examination

2007-02-01

View on SEC IAPD

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