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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-04-01
TX RA APPROVED 2021-04-01
  • IL RA
    APPROVED
    Since 2021-04-01
  • TX RA
    APPROVED
    Since 2021-04-01

Branch Locations

233 South Wacker Drive Suite 9200 Pwm, Chicago, IL 60606 • 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
Ubs Financial Services Inc. Chicago IL 05/2008 04/2021
Morgan Stanley Smith Barney Llc Chicago IL 04/2021 Present
Morgan Stanley Private Bank, N.A New York NY 05/2021 Present
  • 05/2008 → 04/2021
    Chicago, IL
  • 04/2021 → Present
    Morgan Stanley Smith Barney Llc
    Chicago, IL
  • 05/2021 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
  • 2008-05-16 → 2021-04-12
    Chicago, IL
  • 2006-09-27 → 2008-05-27
    J.P. Morgan Securities Inc.
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2004-10-28 → 2006-09-27
    Banc One Securities Corporation
    Chicago, IL
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-10-27
S63 Uniform Securities Agent State Law Examination 2000-04-03
  • S66 Uniform Combined State Law Examination
    2004-10-27
  • S63 Uniform Securities Agent State Law Examination
    2000-04-03

View on SEC IAPD

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