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Daniel Robert Berggren

Morgan Stanley

West Des Moines, IA

Chicago, IL

CRD 3120462

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Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-10-23
MN RA APPROVED 2020-02-04
TX RA APPROVED_RES 2011-02-16
IA RA APPROVED 2009-06-01
  • IL RA
    APPROVED
    Since 2023-10-23
  • MN RA
    APPROVED
    Since 2020-02-04
  • TX RA
    APPROVED_RES
    Since 2011-02-16
  • IA RA
    APPROVED
    Since 2009-06-01

Branch Locations

1080 Jordan Creek Parkway Suite 400 North, West Des Moines, IA 50266 • United States

233 South Wacker Drive Suite 9200 Pwm, Chicago, IL 60606 • 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 West Des Moines IA 06/2009 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    West Des Moines, IA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-02-28
S63 Uniform Securities Agent State Law Examination 1998-12-03
  • S65 Uniform Investment Adviser Law Examination
    2003-02-28
  • S63 Uniform Securities Agent State Law Examination
    1998-12-03
Other Names
  • Dan Berggren
  • Daniel Robert Berggren

View on SEC IAPD

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