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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-03-08
  • TX RA
    APPROVED
    Since 2017-03-08

Branch Locations

Houston, TX • United States

845 Texas Avenue, Houston, TX 77002 • United States

2800 Post Oak Boulevard Suite 3200, Houston, TX 77056 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Houston TX 10/2012 03/2017
Morgan Stanley Smith Barney Llc Houston TX 03/2017 Present
Morgan Stanley Private Bank, N.A. New York NY 04/2017 Present
  • 10/2012 → 03/2017
    Houston, TX
  • 03/2017 → Present
    Morgan Stanley Smith Barney Llc
    Houston, TX
  • 04/2017 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
  • 2012-10-01 → 2017-03-22
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
  • 2000-05-16 → 2012-10-01
    Chase Investment Services Corp.
    Houston, TX
    Houston, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-05-16
S63 Uniform Securities Agent State Law Examination 2000-02-23
  • S65 Uniform Investment Adviser Law Examination
    2000-05-16
  • S63 Uniform Securities Agent State Law Examination
    2000-02-23

View on SEC IAPD

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