Erica Frantz

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Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2025-08-28
TX	RA	APPROVED	2025-08-28

MN RA
APPROVED

Since 2025-08-28
TX RA
APPROVED

Since 2025-08-28

Branch Locations

445 East Lake Street Suite 320, Wayzata, MN 55391 • 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
Rbc Capital Markets, Llc	Minneapolis	MN	08/2013	08/2025
Morgan Stanley Smith Barney Llc	Wayzata	MN	08/2025	Present
Morgan Stanley Private Bank, N.A	New York	NY	11/2025	Present

08/2013 → 08/2025

Rbc Capital Markets, Llc

Minneapolis, MN
08/2025 → Present

Morgan Stanley Smith Barney Llc

Wayzata, MN
11/2025 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2017-07-18 → 2025-09-09

Ubs Financial Services Inc.

Minneapolis, MN
2013-08-16 → 2017-08-01

Rbc Capital Markets, Llc

Minneapolis, MN
2011-08-08 → 2013-06-03

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Northbrook, IL
2008-08-05 → 2011-07-18

Wells Fargo Clearing Services, Llc

Richmond, VA

Washington, DC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-06-06

S66 Uniform Combined State Law Examination

2008-06-06

Other Names

Erica T Moschner
Erica Theresa Moschner
Erica T Moschner
Erica T Frantz
Erica Theresa Frantz

View on SEC IAPD

Other Firms

LARSON FINANCIAL GROUP, LLC

WALLEYE CAPITAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

GARDA CAPITAL PARTNERS

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

LPL FINANCIAL LLC

BANNERSTONE CAPITAL

Other Investors

JOSEPH ANTHONY DELMONICO

GREGORY CHARLES RIELAND

BRIAN JEROME WARPINSKI

JEAN PAUL PRENEVOST

ESTELLA MORA ECKART

JESSICA ROSE HINDERMANN

Keighley J Spott

GREGORY PAUL OLSON

Other Offices

LARSON FINANCIAL GROUP, LLC · Wayzata, MN

EDWARD JONES · Wayzata, MN

WALLEYE CAPITAL LLC · WAYZATA, MN

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WAYZATA, MN

GARDA CAPITAL PARTNERS · WAYZATA, MN

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WAYZATA, MN

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WAYZATA , MN

LPL FINANCIAL LLC · WAYZATA, MN

More in Wayzata, MN

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