Lauren Alexa Mobley

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
CA	RA	APPROVED	2023-05-31
TX	RA	APPROVED_RES	2023-05-29

CA RA
APPROVED

Since 2023-05-31
TX RA
APPROVED_RES

Since 2023-05-29

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
Rbc Capital Markets	Beverly Hills	CA	09/2008	05/2023
Morgan Stanley Smith Barney Llc	Santa Monica	CA	05/2023	Present

09/2008 → 05/2023

Rbc Capital Markets

Beverly Hills, CA
05/2023 → Present

Morgan Stanley Smith Barney Llc

Santa Monica, CA

Previous Registrations

2008-09-16 → 2023-06-16

Rbc Capital Markets, Llc

Beverly Hills, CA
2008-05-08 → 2008-09-16

Wells Fargo Clearing Services, Llc

Beverly Hills, CA
2007-09-18 → 2008-05-16

Ameriprise Financial Services, Llc

Newport Beach, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-09-17

S66 Uniform Combined State Law Examination

2007-09-17

View on SEC IAPD

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