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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2025-10-06 |
| TX | RA | APPROVED | 2025-10-06 |
Branch Locations
55 East 52Nd Street 12Th Floor, New York, NY 10055 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | New York | NY | 05/2016 | 08/2017 |
| Wells Fargo Clearing Services, Llc | White Plains | NY | 08/2017 | 02/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Stamford | CT | 02/2020 | 09/2025 |
| Morgan Stanley | New York | NY | 09/2025 | Present |
*661640- I universe; Investment related: No; Brewster, New York; Author of Three Books; Author (proprietor, partner, officer, director, employee, trustee, agent); 09/2025; During business hours: 0; After business hours: 2; Just an author of self published books
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-08-07 |
| S66 | Uniform Combined State Law Examination | 1997-04-21 |
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