Brendan David Guernsey

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Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2016-09-28
IL	RA	APPROVED	2015-04-01

TX RA
APPROVED

Since 2016-09-28
IL RA
APPROVED

Since 2015-04-01

Branch Locations

233 S Wacker Dr. Suite 8600, Chicago, IL 60606 • 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
Morgan Stanley Smith Barney Llc	Chicago	IL	06/2009	Present

06/2009 → Present

Morgan Stanley Smith Barney Llc

Chicago, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-03-31
S63	Uniform Securities Agent State Law Examination	2006-04-13

S65 Uniform Investment Adviser Law Examination

2015-03-31
S63 Uniform Securities Agent State Law Examination

2006-04-13

View on SEC IAPD

Other Firms

BROWNSON, REHMUS & FOXWORTH, INC.

PFINGSTEN PARTNERS, L.L.C.

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

GUGGENHEIM INVESTMENTS

PEKIN HARDY STRAUSS, INC.

SPIDERROCK ADVISORS, LLC

PROSPECT PARTNERS ADVISORS LLC

DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch

HAROLD NELSON LEAVELL

CARLYLE KELLY MADDEN

PHILIP JOHN RIDOLPHI

SUSAN MARY SHACKLETTE

KRISTI LYNN MILLS

NATHANIEL MITCHELL COLEMAN

KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL

PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL

GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

GUGGENHEIM INVESTMENTS · CHICAGO, IL

PEKIN HARDY STRAUSS, INC. · CHICAGO, IL

SPIDERROCK ADVISORS, LLC · CHICAGO, IL

PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL

DOYENNE WEALTH ADVISORS · CHICAGO, IL

More in Chicago, IL

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