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Scott Francis Tompkins

Morgan Stanley

Carlsbad, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-01-16
CA RA APPROVED 2015-07-15
  • TX RA
    APPROVED
    Since 2023-01-16
  • CA RA
    APPROVED
    Since 2015-07-15

Branch Locations

5796 Armada Drive Suite 200, Carlsbad, CA 92008 • 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
Morgan Stanley Smith Barney Llc Carlsbad CA 05/2015 Present
Morgan Stanley Private Bank, N.A. New York NY 11/2015 Present
  • 05/2015 → Present
    Morgan Stanley Smith Barney Llc
    Carlsbad, CA
  • 11/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-01-29
S63 Uniform Securities Agent State Law Examination 2011-03-25
  • S65 Uniform Investment Adviser Law Examination
    2015-01-29
  • S63 Uniform Securities Agent State Law Examination
    2011-03-25

View on SEC IAPD

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Other Offices

INTELLIGENCE DRIVEN ADVISERS, LLC · CARLSBAD, CA
COTTINGHAM MANAGEMENT COMPANY, LLC · CARLSBAD, CA
CORONADO INVESTMENT ADVISORS, LLC · CARLSBAD, CA
FINANCIAL PLANNING SOLUTIONS, INC. · CARLSBAD, CA
PFS INVESTMENTS INC. · CARLSBAD, CA
COMMONWEALTH FINANCIAL NETWORK · CARLSBAD, CA
FRANK FINANCIAL ADVISORS · CARLSBAD, CA
LPL FINANCIAL LLC · CARLSBAD, CA

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