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Morgan Stanley CRD 149777
$1.96T regulatory AUM 416,984 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2023-09-25 |
| TX | RA | APPROVED | 2023-09-21 |
| NC | RA | APPROVED | 2023-09-05 |
Branch Locations
3 Edison Drive, Alpharetta, GA 30005 • United States
Charlotte, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 07/2016 | 07/2022 |
| E*Trade Securities Llc | Alpharetta | GA | 07/2022 | 09/2023 |
| E*Trade Capital Management Llc | Alpharetta | GA | 07/2022 | 09/2023 |
| Morgan Stanley Smith Barney Llc | Charlotte | NC | 09/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-07-22 |
| S63 | Uniform Securities Agent State Law Examination | 2016-08-30 |
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