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Austin C Neufeld

Morgan Stanley

Bellingham, WA

Seattle, WA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-03-26
WA RA APPROVED 2018-02-06
  • TX RA
    APPROVED_RES
    Since 2020-03-26
  • WA RA
    APPROVED
    Since 2018-02-06

Branch Locations

2200 Rimland Drive Suite 105, Bellingham, WA 98226 • United States

601 Union Street Suite 2900, Seattle, WA 98101 • 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
Northwestern Mutual Investment Services Llc Bellingham WA 10/2015 02/2018
Northwestern Mutual Life Insurance Company Milwaukee WI 01/2015 02/2018
Assist Marketing Burlington WA 08/2016 12/2017
Northwestern Mutual Wealth Management Company Milwaukee WI 10/2016 02/2018
Uber Bellingham WA 11/2017 04/2018
Morgan Stanley Smith Barney Llc Bellingham WA 01/2018 02/2018
Turo Bellingham WA 10/2017 12/2017
Morgan Stanley Private Bank, N.A. New York NY 03/2018 Present
Morgan Stanley Smith Barney Llc Bellingham WA 02/2018 Present
  • 10/2015 → 02/2018
    Northwestern Mutual Investment Services Llc
    Bellingham, WA
  • 01/2015 → 02/2018
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 08/2016 → 12/2017
    Assist Marketing
    Burlington, WA
  • 10/2016 → 02/2018
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 11/2017 → 04/2018
    Uber
    Bellingham, WA
  • 01/2018 → 02/2018
    Morgan Stanley Smith Barney Llc
    Bellingham, WA
  • 10/2017 → 12/2017
    Turo
    Bellingham, WA
  • 03/2018 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 02/2018 → Present
    Morgan Stanley Smith Barney Llc
    Bellingham, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-06
S63 Uniform Securities Agent State Law Examination 2016-04-30
  • S66 Uniform Combined State Law Examination
    2018-02-06
  • S63 Uniform Securities Agent State Law Examination
    2016-04-30
Other Names
  • Austin Neufeld

View on SEC IAPD

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LIANA LEE FREEMAN

Other Offices

WELLS FARGO CLEARING SERVICES, LLC · BELLINGHAM, WA
FINANCIAL PLAN, INC. · BELLINGHAM, WA
GOODRICH & ASSOCIATES, LLC · BELLINGHAM, WA
GOODRICH & ASSOCIATES, LLC · BELLINGHAM, WA
D.A. DAVIDSON & CO. · BELLINGHAM, WA
EDWARD JONES · BELLINGHAM, WA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Bellingham, WA
EDWARD JONES · BELLINGHAM, WA

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