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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2009-06-01
OK RA APPROVED 2009-06-01
TX RA APPROVED_RES 2009-06-01
  • CA RA
    APPROVED
    Since 2009-06-01
  • OK RA
    APPROVED
    Since 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2009-06-01

Branch Locations

Santa Cruz, CA • United States

1999 Harrison Street Suite 2200, Oakland, CA 94612 • 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
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Oakland CA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Oakland, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Oakland, CA
  • 1997-07-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Oakland, CA
    Oakland, CA
Other Businesses

*439043 - Farm DHB LLC; Investment related Yes; Felton, CA,; Agriculture; Sole Proprietor/Owner, Officer, Board Member, (proprietor, partner, officer, director, employee, trustee, agent); May 2021; During business hours: 0; After business hours: 08; planning and development. *402028 - ReUseBricks.com LLC; Investment related Yes; Felton, California; Retail/Online Stores; Partner (proprietor, partner, officer, director, employee, trustee, agent); 03/2023 ; During business hours: 0; After business hours: 20; Sales/Marketing.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-10-02
  • S63 Uniform Securities Agent State Law Examination
    1991-10-02

View on SEC IAPD

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