James Gregory Pondel

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-03-19
WI	RA	APPROVED	2012-05-11

TX RA
APPROVED_RES

Since 2020-03-19
WI RA
APPROVED

Since 2012-05-11

Branch Locations

Boulder Junction, WI • United States

20975 Swenson Drive Suite 300, Waukesha, WI 53186 • 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
Morgan Stanley Smith Barney	Waukesha	WI	05/2012	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

05/2012 → Present

Morgan Stanley Smith Barney

Waukesha, WI
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2007-12-03 → 2012-05-14

Wells Fargo Clearing Services, Llc

Waukesha, WI

Other Businesses

1.Trout Lake Property Owners Association; Investment related: No; Property Owners Association; President(proprietor, partner, officer, director, employee, trustee, agent); Jan 2018; During business hours: 0.5; After business hours: 0.5; To actively preserve and protect the natural environment and ecology of Trout Lake, the streams and springs connected with it, and the surrounding land; to promote community interest and participation in the foregoing purposes 2. Real Estate; Investment related; northern WI.; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); May 2019; During business hours: 0; After business hours: 1; Owner, member and Registered Agent of LLC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-11-30

S66 Uniform Combined State Law Examination

2007-11-30

Other Names

James Gregory Pondel
James Gregory Pondel

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