Elisabeth Rose Traupman

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-12-13
CT	RA	APPROVED	2024-12-10
NY	RA	APPROVED	2024-12-10

TX RA
APPROVED

Since 2024-12-13
CT RA
APPROVED

Since 2024-12-10
NY RA
APPROVED

Since 2024-12-10

Branch Locations

2000 Westchester Avenue 1Nc, Purchase, NY 10577 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley	New York	NY	05/2016	10/2021
Ubs Financial Services	New York	NY	10/2021	11/2024
Morgan Stanley	Purchase	NY	12/2024	Present

05/2016 → 10/2021

Morgan Stanley

New York, NY
10/2021 → 11/2024

Ubs Financial Services

New York, NY
12/2024 → Present

Morgan Stanley

Purchase, NY

Previous Registrations

2021-10-28 → 2024-11-27

Ubs Financial Services Inc.

New York, NY

New York, NY
2016-06-29 → 2021-11-01

Morgan Stanley

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-06-28
S63	Uniform Securities Agent State Law Examination	2008-04-07

S66 Uniform Combined State Law Examination

2016-06-28
S63 Uniform Securities Agent State Law Examination

2008-04-07

Other Names

Elisabeth Rose Fleming

View on SEC IAPD