Douglas Anthony Bott

CRD 4193697

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Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-10-14
CA	RA	APPROVED	2012-01-24

TX RA
APPROVED_RES

Since 2022-10-14
CA RA
APPROVED

Since 2012-01-24

Branch Locations

3421 Brookside Road Suite A, Stockton, CA 95219 • 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
Morgan Stanley Smith Barney Llc	Stockton	CA	01/2012	Present
Morgan Stanley Private Bank, N.A.	New York	NY	01/2015	Present

01/2012 → Present

Morgan Stanley Smith Barney Llc

Stockton, CA
01/2015 → Present

Morgan Stanley Private Bank, N.A.

New York, NY

Previous Registrations

2003-03-21 → 2012-02-03

Ubs Financial Services Inc.

Stockton, CA

Stockton, CA
2000-10-06 → 2003-03-25

Morgan Stanley Dw Inc.

Stockton, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-07-25

S66 Uniform Combined State Law Examination

2000-07-25

View on SEC IAPD

More in Stockton, CA

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