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Morgan Stanley CRD 149777
$1.96T regulatory AUM 416,984 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-08-04 |
| IL | RA | APPROVED | 2022-07-20 |
Branch Locations
233 S Wacker Dr. Suite 8600, Chicago, IL 60606 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Management, Llc | Oakbrook Terrace | IL | 05/2013 | 08/2019 |
| Jpmorgan Chase Bank, N.A. | Chicago | IL | 08/2019 | 06/2022 |
| Jpmorgan Securities, Llc. | Chicago | IL | 08/2019 | 06/2022 |
| Morgan Stanley Smith Barney Llc | Chicago | IL | 06/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-01-04 |
| S63 | Uniform Securities Agent State Law Examination | 2014-03-29 |
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