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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 | 2020-03-26 |
| IN | RA | APPROVED | 2019-03-07 |
| MI | RA | APPROVED | 2012-01-24 |
| MO | RA | APPROVED | 2009-06-01 |
Branch Locations
800 East 96Th Street Suite 400, Indianapolis, IN 46240 • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | St. Louis | MO | 06/2009 | Present |
*709609- LIV Golf; Investment related No; New York, New York; Professional Golf; Pro-Am Caddie (proprietor, partner, officer, director, employee, trustee, agent); 08/2026; During business hours: 5; After business hours: 0; Carry golf bag
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-02-13 |
| S63 | Uniform Securities Agent State Law Examination | 1989-12-20 |
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