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Luis Diego Mora

Morgan Stanley

Huntersville,, NC

Alpharetta, GA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2023-09-25
TX RA APPROVED_RES 2023-09-22
NC RA APPROVED 2023-09-05
  • GA RA
    APPROVED
    Since 2023-09-25
  • TX RA
    APPROVED_RES
    Since 2023-09-22
  • NC RA
    APPROVED
    Since 2023-09-05

Branch Locations

Huntersville,, NC • United States

3 Edison Drive, Alpharetta, GA 30005 • 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
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 12/2010 03/2022
Tiaa Charlotte NC 12/2010 03/2022
E*Trade Securities Llc Alpharetta GA 04/2022 09/2023
E*Trade Capital Management Llc Alpharetta GA 04/2022 09/2023
Morgan Stanley Smith Barney Llc Huntersville NC 09/2023 Present
  • 12/2010 → 03/2022
    Tiaa-Cref Individual & Institutional Services, Llc
    Charlotte, NC
  • 12/2010 → 03/2022
    Tiaa
    Charlotte, NC
  • 04/2022 → 09/2023
    E*Trade Securities Llc
    Alpharetta, GA
  • 04/2022 → 09/2023
    E*Trade Capital Management Llc
    Alpharetta, GA
  • 09/2023 → Present
    Morgan Stanley Smith Barney Llc
    Huntersville, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-08-15
S63 Uniform Securities Agent State Law Examination 2011-01-24
  • S66 Uniform Combined State Law Examination
    2013-08-15
  • S63 Uniform Securities Agent State Law Examination
    2011-01-24

View on SEC IAPD

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