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Steven Matthew Spalding

Morgan Stanley

Alpharetta, GA

Alpharetta, GA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2023-09-05
TX RA APPROVED_RES 2023-09-05
  • GA RA
    APPROVED
    Since 2023-09-05
  • TX RA
    APPROVED_RES
    Since 2023-09-05

Branch Locations

3 Edison Drive, Alpharetta, GA 30005 • United States

Alpharetta, GA • 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
E*Trade Securities Llc Alpharetta GA 03/2007 09/2017
E*Trade Capital Management Llc Alpharetta GA 03/2009 09/2017
E*Trade Securities Llc Alpharetta GA 09/2017 02/2020
E*Trade Capital Management Llc Alpharetta GA 09/2017 02/2020
E*Trade Capital Management Llc Alpharetta GA 02/2020 04/2020
E*Trade Securities Llc Alpharetta GA 02/2020 04/2020
E*Trade Securities Llc Alpharetta GA 04/2020 06/2020
E*Trade Capital Management Llc Alpharetta GA 04/2020 06/2020
E*Trade Securities Llc Alpharetta GA 06/2020 Present
E*Trade Capital Management Llc Alpharetta GA 06/2020 Present
Morgan Stanley Alpharetta GA 10/2022 Present
Morgan Stanley Alpharetta GA 09/2023 Present
  • 03/2007 → 09/2017
    E*Trade Securities Llc
    Alpharetta, GA
  • 03/2009 → 09/2017
    E*Trade Capital Management Llc
    Alpharetta, GA
  • 09/2017 → 02/2020
    E*Trade Securities Llc
    Alpharetta, GA
  • 09/2017 → 02/2020
    E*Trade Capital Management Llc
    Alpharetta, GA
  • 02/2020 → 04/2020
    E*Trade Capital Management Llc
    Alpharetta, GA
  • 02/2020 → 04/2020
    E*Trade Securities Llc
    Alpharetta, GA
  • 04/2020 → 06/2020
    E*Trade Securities Llc
    Alpharetta, GA
  • 04/2020 → 06/2020
    E*Trade Capital Management Llc
    Alpharetta, GA
  • 06/2020 → Present
    E*Trade Securities Llc
    Alpharetta, GA
  • 06/2020 → Present
    E*Trade Capital Management Llc
    Alpharetta, GA
  • 10/2022 → Present
    Morgan Stanley
    Alpharetta, GA
  • 09/2023 → Present
    Morgan Stanley
    Alpharetta, GA
Previous Registrations
  • 2009-04-06 → 2023-09-05
    Harrisdirect Llc
    Arlington, VA
    Alpharetta, GA
    Alpharetta, GA
    Alpharetta, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-03-30
S63 Uniform Securities Agent State Law Examination 2007-05-01
  • S66 Uniform Combined State Law Examination
    2009-03-30
  • S63 Uniform Securities Agent State Law Examination
    2007-05-01

View on SEC IAPD

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Other Offices

MRP CAPITAL INVESTMENTS, LLC · ALPHARETTA, GA
NEW EDGE WEALTH · Alpharetta, GA
COMMONWEALTH FINANCIAL NETWORK · Alpharetta, GA
SEQUENT PLANNING, LLC · ALPHARETTA, GA
BROOKSTONE WEALTH ADVISORS, LLC · Alphretta, GA
SEQUENT PLANNING, LLC · ALPHARETTA, GA
LADENBURG THALMANN ASSET MANAGEMENT INC · Norcross, GA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · ALPHARETTA, GA

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