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Joan H Masuda-Cox

Morgan Stanley

Los Gatos, CA

CRD 3134338

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2023-05-08
TX RA APPROVED 2023-05-08
  • CA RA
    APPROVED
    Since 2023-05-08
  • TX RA
    APPROVED
    Since 2023-05-08

Branch Locations

16000 Los Gatos Boulevard, Los Gatos, CA 95032 • 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
Ubs Financial Services Inc. Los Gatos CA 04/2012 08/2019
Morgan Stanley Los Gatos CA 08/2019 Present
  • 04/2012 → 08/2019
    Ubs Financial Services Inc.
    Los Gatos, CA
  • 08/2019 → Present
    Morgan Stanley
    Los Gatos, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-05-08
S63 Uniform Securities Agent State Law Examination 2018-12-15
  • S66 Uniform Combined State Law Examination
    2023-05-08
  • S63 Uniform Securities Agent State Law Examination
    2018-12-15
Other Names
  • Joanne H Masuda
  • Joanne Masuda Cox
  • Joanne Masuda Cox
  • Joanne H. Cox
  • Joanne H Masuda-Cox

View on SEC IAPD

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