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Michael Barres Cawthon

Morgan Stanley

Walnut Creek, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-11-29
CA RA APPROVED 2023-09-17
  • TX RA
    APPROVED
    Since 2023-11-29
  • CA RA
    APPROVED
    Since 2023-09-17

Branch Locations

1333 North California Boulevard Suite 133, Walnut Creek, CA 94596 • 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
Mml Investors Services, Llc Walnut Creek CA 07/2017 11/2017
Insight Wealth Strategies San Ramon CA 12/2015 05/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pleasanton CA 03/2018 09/2023
Unemployed Walnut Creek CA 12/2017 03/2018
Bank Of America, N.A. Pleasanton CA 06/2018 09/2023
Morgan Stanley Walnut Creek CA 09/2023 Present
Morgan Stanley Private Bank, N.A New York NY 09/2023 Present
  • 07/2017 → 11/2017
    Mml Investors Services, Llc
    Walnut Creek, CA
  • 12/2015 → 05/2017
    Insight Wealth Strategies
    San Ramon, CA
  • 03/2018 → 09/2023
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Pleasanton, CA
  • 12/2017 → 03/2018
    Unemployed
    Walnut Creek, CA
  • 06/2018 → 09/2023
    Bank Of America, N.A.
    Pleasanton, CA
  • 09/2023 → Present
    Morgan Stanley
    Walnut Creek, CA
  • 09/2023 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-06-11
  • S66 Uniform Combined State Law Examination
    2018-06-11
Other Names
  • Mike Cawthon
  • Michael Barres Cawthon
  • Michael Cawthon

View on SEC IAPD

Other Firms

USCF ADVISERS
BURTON ENRIGHT WELCH
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
SAVANT WEALTH MANAGEMENT
ONE CAPITAL MANAGEMENT, LLC
ROCKEFELLER FINANCIAL LLC
OSAIC WEALTH, INC.

Other Investors

CHRISTOPHER STEPHEN HUGHES
Gerwin de Haan
KELLY METZLER RANDALL
Sydney Irene Kovacs
DAVID ANTHONY ESPINEIRA
BENJAMIN ROSS PETERS
Annie Claire Klopstock
Alex Kyle Soderberg

Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

More in Walnut Creek, CA

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