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Lisa Guzman

Morgan Stanley

New York, NY

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-16
TX RA APPROVED_RES 2020-05-15
  • NY RA
    APPROVED
    Since 2021-06-16
  • TX RA
    APPROVED_RES
    Since 2020-05-15

Branch Locations

One Penn Plaza 43Rd Floor, New York, NY 10119 • 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 Smith Barney New York NY 06/2009 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2008-09-29
  • S63 Uniform Securities Agent State Law Examination
    2008-09-29
Other Names
  • Lisa Guzman
  • Lisa Aponte

View on SEC IAPD

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