Yash Vijay Dalal

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
TX	RA	APPROVED_RES	2014-02-24
NJ	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2014-02-24
NJ RA
APPROVED

Since 2009-06-01

Branch Locations

61 South Paramus Road 3Rd Floor, Paramus, NJ 07652 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney	Paramus	NJ	06/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

06/2009 → Present

Morgan Stanley Smith Barney

Paramus, NJ
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2002-05-03 → 2009-06-01

Citigroup Global Markets Inc.

Paramus, NJ

Paramus, NJ

Paramus, NJ

Other Businesses

1. School of Arts & Sciences; Investment related No; Role/position/job title (proprietor, partner, officer, director, employee, trustee, agent); Apr/2015; During business hours: 0; After business hours: 0.5; 2. *420725 - Estate; Investment related - Yes; Ramsey, New Jersey; Executor; 01/2021; During business hours: 2; After business hours: 8 3. *421819- Trust; Investment related Yes; Ramsey, New Jersey; Trust; Trustee/Co-Trustee (proprietor, partner, officer, director, employee, trustee, agent); 08/2021; During business hours: 0; After business hours: 1; *223407 - Asha-Vijay Foundation; Investment related No; Ramsey, NJ; Charitable, Private Foundation, Non-Profit; Board Member (proprietor, partner, officer, director, employee, trustee, agent); Nov 1996; During business hours: 0; After business hours: 01; Check Signing/Funds Disbursements. *450981 - VAYS LLC; Investment related Yes; Ramsey, NJ; Family LLC for investments; Partner (proprietor, partner, officer, director, employee, trustee, agent); Aug, 2021; During business hours: 1; After business hours: 0; Investment Decisions/Advice.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-12-18
S63	Uniform Securities Agent State Law Examination	1998-12-07

S65 Uniform Investment Adviser Law Examination

1998-12-18
S63 Uniform Securities Agent State Law Examination

1998-12-07

Other Names

Yash V Dalal

View on SEC IAPD