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Alex Douglas Cole

Morgan Stanley

San Diego, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-04-06
TX RA APPROVED_RES 2016-12-13
IL RA APPROVED 2013-09-24
  • CA RA
    APPROVED
    Since 2018-04-06
  • TX RA
    APPROVED_RES
    Since 2016-12-13
  • IL RA
    APPROVED
    Since 2013-09-24

Branch Locations

4350 La Jolla Village Drive Suite 1000, San Diego, CA 92122 • 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 San Diego CA 08/2013 Present
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
  • 08/2013 → Present
    Morgan Stanley
    San Diego, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-09-24
S63 Uniform Securities Agent State Law Examination 2011-10-07
  • S66 Uniform Combined State Law Examination
    2013-09-24
  • S63 Uniform Securities Agent State Law Examination
    2011-10-07
Other Names
  • Alex Cole

View on SEC IAPD

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NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
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