Thomas B Keene

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
AL	RA	APPROVED	2021-09-23
TX	RA	APPROVED_RES	2021-09-17

AL RA
APPROVED

Since 2021-09-23
TX RA
APPROVED_RES

Since 2021-09-17

Branch Locations

305 Church Street, Huntsville, AL 35801 • 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
Ubs Financial Services Inc.	Birmingham	AL	12/2008	09/2021
Morgan Stanley Smith Barney Llc	Huntsville	AL	09/2021	Present

12/2008 → 09/2021

Ubs Financial Services Inc.

Birmingham, AL
09/2021 → Present

Morgan Stanley Smith Barney Llc

Huntsville, AL

Previous Registrations

2008-12-01 → 2021-09-23

Ubs Financial Services Inc.

Huntsville, AL
2000-02-02 → 2008-12-02

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Huntsville, AL

Huntsville, AL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-02-11
S63	Uniform Securities Agent State Law Examination	1990-03-16

S65 Uniform Investment Adviser Law Examination

1994-02-11
S63 Uniform Securities Agent State Law Examination

1990-03-16

Other Names

Tom Keene
Tom Keene
Thomas Bruce Keene
Tom B Keene

View on SEC IAPD