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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-08-08
  • CA RA
    APPROVED
    Since 2022-08-08

Branch Locations

21650 Oxnard Street Suite 1800, Woodland Hills, CA 91367 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Westlake Village CA 09/2013 11/2016
Wells Fargo Clearing Services, Llc Westlake Village CA 11/2016 08/2022
Morgan Stanley Smith Barney Llc Woodland Hills CA 08/2022 Present
Morgan Stanley Private Bank, N.A New York NY 11/2022 Present
  • 09/2013 → 11/2016
    Wells Fargo Advisors, Llc
    Westlake Village, CA
  • 11/2016 → 08/2022
    Westlake Village, CA
  • 08/2022 → Present
    Morgan Stanley Smith Barney Llc
    Woodland Hills, CA
  • 11/2022 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
  • 2013-09-09 → 2022-08-11
    Westlake Village, CA
    Tarzana, CA
    Encino, CA
    Studio City, CA
    Pasadena, CA
    Woodland Hills, CA
    Woodland Hills, CA
  • 2012-10-01 → 2013-09-10
    Los Angeles, CA
    Los Angeles, CA
  • 2010-01-08 → 2012-10-01
    Chase Investment Services Corp.
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
  • 2009-10-16 → 2010-01-05
    Wells Fargo Investments, Llc
    Glendale, CA
  • 2008-06-10 → 2009-05-07
    Glendale, CA
Other Businesses

1. *538849 - Rental Property; Investment related Yes; Cleveland, Ohio; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 02/2023; During business hours: 0; After business hours: 2; Administrative 2. *545154 - Rental Property; Investment related Yes; Cleveland, Ohio; Rental Property; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 03/2023 ; During business hours: 0; After business hours: 2; Administrative. 3. * 559369 - Rental Property ; Investment related - Yes ; Clevland, Ohio ; Rental Property ; Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent) ; 6/2023 ; During business hours : 0 ; After business hours : 2 ; Administrative *575618 - Rental Property ; Investment related - Yes ; Clevland ,Ohio ; Rental Property:Real Estate ; Partner(proprietor, partner, officer, director, employee, trustee, agent) ; 12/2023 ; During business hours : 0 ; After business hours : 2 ; Administrative *590224 - Rental Property ; Investment related - Yes ; Cleveland,Ohio ; Real Estate:Rental Property ; Partner(proprietor, partner, officer, director, employee, trustee, agent) ; 5/2024 ; During business hours : 0 ; After business hours : 1 ; Administrative *594469- Maxoey LLC; Investment related: Yes; Studio City, California; Real Estate, Rental Property; Partner (proprietor, partner, officer, director, employee, trustee, agent); 01/2023; During business hours: 0; After business hours: 2; Administrative *594484 - Simi Valley Executive Board of Neighborhood Council; Investment Related - No; Simi Valley, California; Government; Advisory Board, Appointed Government Position (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 06/2024; During Business Hours: 0; After Business Hours: 3 Administrative

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-06
  • S66 Uniform Combined State Law Examination
    2008-06-06

View on SEC IAPD

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