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Gladys Lugo

Morgan Stanley

Pasadena, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-10-10
CA RA APPROVED 2022-09-02
  • TX RA
    APPROVED
    Since 2022-10-10
  • CA RA
    APPROVED
    Since 2022-09-02

Branch Locations

55 South Lake Avenue Pasadena Towers - Tower Ii Suite 700, Pasadena, CA 91101 • 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
Bbva Securities Inc. Harlingen TX 08/2018 03/2019
Bbva Compass Insurance Agency, Inc. Austin TX 06/2013 03/2019
Compass Bank Birmingham AL 10/2010 03/2019
Morgan Stanley Smith Barney Llc Pasadena CA 01/2022 Present
Unemployed Brownsville TX 03/2019 01/2022
  • 08/2018 → 03/2019
    Bbva Securities Inc.
    Harlingen, TX
  • 06/2013 → 03/2019
    Bbva Compass Insurance Agency, Inc.
    Austin, TX
  • 10/2010 → 03/2019
    Compass Bank
    Birmingham, AL
  • 01/2022 → Present
    Morgan Stanley Smith Barney Llc
    Pasadena, CA
  • 03/2019 → 01/2022
    Unemployed
    Brownsville, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-02
  • S66 Uniform Combined State Law Examination
    2022-09-02
Other Names
  • Gladys Guzman De Alba

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

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