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Morgan Stanley CRD 149777
$1.96T regulatory AUM 416,984 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-01-10 |
| TX | RA | APPROVED | 2020-01-10 |
Branch Locations
555 California Street 35Th Floor, San Francisco, CA 94104 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Posh Baban | Oakland | CA | 01/2003 | Present |
| Wells Fargo Advisors Llc | Walnut Creek | CA | 12/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Walnut Creek | CA | 11/2016 | 01/2020 |
| Morgan Stanley Smith Barney Llc | San Francisco | CA | 01/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 02/2020 | Present |
*389192 - Posh Baban; Investment related No; Oakland, CA; Retail/Online Stores; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); Jan 2020; During business hours: 0+; After business hours: 0+
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-02-12 |
| S63 | Uniform Securities Agent State Law Examination | 2008-10-04 |
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