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Morgan Stanley CRD 149777
$1.96T regulatory AUM 416,984 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-21 |
| CT | RA | APPROVED | 2021-04-23 |
| TX | RA | APPROVED | 2021-04-23 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | New York | NY | 05/2007 | 04/2021 |
| Morgan Stanley Smith Barney Llc | Ridgefield | CT | 04/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 05/2021 | Present |
*OBI - 555755 - Huntington Community First Aid Squad ; Investment related - No ; Huntington Station, New York ; Medical ; Other Committee, Budget Committee (proprietor, partner, officer, director, employee, trustee, agent) ; 8/2023 ; During business hours : 0 ; After business hours : 16 ; Administrative:Other
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-07 |
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