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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-16
TX RA APPROVED_RES 2020-05-04
NJ RA APPROVED 2014-02-28
  • NY RA
    APPROVED
    Since 2021-06-16
  • TX RA
    APPROVED_RES
    Since 2020-05-04
  • NJ RA
    APPROVED
    Since 2014-02-28

Branch Locations

1 New York Plaza, New York, NY 10004 • United States

Flushing, NY • 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 New York NY 12/2013 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 02/2019
E*Trade Securities,Llc New York NY 07/2022 Present
  • 12/2013 → Present
    New York, NY
  • 01/2015 → 02/2019
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 07/2022 → Present
    E*Trade Securities,Llc
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-02-24
  • S66 Uniform Combined State Law Examination
    2014-02-24
Other Names
  • Carlotta Griffin
  • Carlotta Christine Griffin

View on SEC IAPD

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