Michael D Lefflbine

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2025-12-02

NY RA
APPROVED

Since 2025-12-02

Branch Locations

2000 Westchester Avenue 1Nc, Purchase, NY 10577 • 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

Organization	City	State	From	To
Northwestern Mutual Life Insurance Company	Milwaukee	WI	03/2016	05/2017
Northwestern Mutual Investment Services Llc	New York	NY	02/2017	05/2017
E*Trade Securities Llc	Scarsdale	NY	11/2017	08/2019
Unemployed	Greenwich	CT	05/2017	11/2017
E*Trade Capital Management Llc	Scarsdale	NY	04/2019	08/2019
E*Trade Securities Llc	New York	NY	08/2019	07/2020
E*Trade Capital Management Llc	New York	NY	08/2019	07/2020
E*Trade Securities Llc	New York	NY	07/2020	01/2021
E*Trade Capital Management Llc	New York	NY	07/2020	01/2021
E*Trade Securities Llc	Purchase	NY	01/2021	07/2021
E*Trade Capital Management Llc	Purchase	NY	01/2021	07/2021
Morgan Stanley Smith Barney Llc	Purchase	NY	04/2022	Present
Fieldpoint Private	Greenwich	CT	07/2021	04/2022

03/2016 → 05/2017

Northwestern Mutual Life Insurance Company

Milwaukee, WI
02/2017 → 05/2017

Northwestern Mutual Investment Services Llc

New York, NY
11/2017 → 08/2019

E*Trade Securities Llc

Scarsdale, NY
05/2017 → 11/2017

Unemployed

Greenwich, CT
04/2019 → 08/2019

E*Trade Capital Management Llc

Scarsdale, NY
08/2019 → 07/2020

E*Trade Securities Llc

New York, NY
08/2019 → 07/2020

E*Trade Capital Management Llc

New York, NY
07/2020 → 01/2021

E*Trade Securities Llc

New York, NY
07/2020 → 01/2021

E*Trade Capital Management Llc

New York, NY
01/2021 → 07/2021

E*Trade Securities Llc

Purchase, NY
01/2021 → 07/2021

E*Trade Capital Management Llc

Purchase, NY
04/2022 → Present

Morgan Stanley Smith Barney Llc

Purchase, NY
07/2021 → 04/2022

Fieldpoint Private

Greenwich, CT

Previous Registrations

2021-07-12 → 2022-04-07

Dominari Securities Llc

New York, NY
2019-06-05 → 2021-07-19

Harrisdirect Llc

Scarsdale, NY

Arlington, VA

Purchase, NY

Other Businesses

1. Name: Indoor Flag Football League 2. Investment-related: No 3. Address: 5 Fairview Terrace, Greenwich, Connecticut 06831 4. Nature: Sports 5. Position: Co-Founder 6. Start Date: 1/6/2019 7. Approx. number of hrs/mth devoted to the other business: 8 8. Number of hrs devoted during securities trading hrs: 0 9. Duties: Develop the website and schedule. Monitor volunteers and operations on game day.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-05-31
S63	Uniform Securities Agent State Law Examination	2017-03-27

S66 Uniform Combined State Law Examination

2019-05-31
S63 Uniform Securities Agent State Law Examination

2017-03-27

Other Names

Michael David Lefflbine
Michael Lefflbine

View on SEC IAPD