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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-12-21
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2011-12-21
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

21250 Hawthorne Boulevard Suite 650, Torrance, CA 90503 • United States

Santa Maria, CA • 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 Llc Torrance CA 06/2009 Present
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    Torrance, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Torrance, CA
  • 2005-01-18 → 2007-04-02
    Morgan Stanley Dw Inc.
    Torrance, CA
    Torrance, CA
  • 2002-06-04 → 2005-01-18
    Citicorp Investment Services
    Torrance, CA
Other Businesses

*106510 - Attig AG LLC; Investment related: Yes; Redondo Beach, California; Agriculture ; Partner (proprietor, partner, officer, director, employee, trustee, agent); 01/2022; During business hours: 1; After business hours: 9; Property Management 2. *150226 - Riviera United Methodist Church Finance Committee; Investment related - No; Redondo Beach, California; Religious; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 01/2020; During business hours: 0; After business hours: 5; Labor/Service, Check Signing/Funds Disbursements 3. *543388 - Hidden Highlands Cattle Co LLC; Investment related Yes; Redondo Beach, California; Agriculture; Partner (proprietor, partner, officer, director, employee, trustee, agent); 03/2015 ; During business hours: 0; After business hours: 15; Administrative, Accounting/Bookkeeping, Business Development/Growth, Check Signing/Funds Disbursements, Labor/Service, Sales/Marketing.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-12-28
S63 Uniform Securities Agent State Law Examination 1990-10-12
  • S65 Uniform Investment Adviser Law Examination
    2000-12-28
  • S63 Uniform Securities Agent State Law Examination
    1990-10-12

View on SEC IAPD

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