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Lori Ann Simon

Morgan Stanley

Shrewsbury, NJ

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-02-19
NJ RA APPROVED 2018-02-23
  • TX RA
    APPROVED
    Since 2020-02-19
  • NJ RA
    APPROVED
    Since 2018-02-23

Branch Locations

1030 Broad Street 3Rd Floor, Shrewsbury, NJ 07702 • 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
Morgan Stanley Shrewsbury NJ 02/2017 Present
Northwestern Mutual New York NY 06/2016 12/2016
Morgan Stanley Private Bank, National Association New York NY 01/2018 Present
  • 02/2017 → Present
    Morgan Stanley
    Shrewsbury, NJ
  • 06/2016 → 12/2016
    Northwestern Mutual
    New York, NY
  • 01/2018 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-23
  • S66 Uniform Combined State Law Examination
    2018-02-23
Other Names
  • Lori Ann Dorazio
  • Lori Ann Simon
  • Lori A Simon

View on SEC IAPD

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DAVID THOMAS PALLADINO
RICHARD JOSEPH SALERNO
KEITH JOSEPH RYAN

Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · SHREWSBURY, NJ
PARK AVENUE SECURITIES LLC · SHREWSBURY, NJ
SANCTUARY ADVISORS, LLC · SHREWSBURY, NJ
WORLD INVESTMENT ADVISORS, LLC · SHREWSBURY, NJ
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SHREWSBURY, NJ
PFS INVESTMENTS INC. · TINTON FALLS, NJ
RAYMOND JAMES & ASSOCIATES, INC. · Tinton Falls, NJ
CETERA INVESTMENT ADVISERS LLC · Tinton Falls, NJ

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