James Francis Kwei

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2016-02-08
TX	RA	APPROVED_RES	2016-02-08

CA RA
APPROVED

Since 2016-02-08
TX RA
APPROVED_RES

Since 2016-02-08

Branch Locations

1111 Prospect Street, La Jolla, CA 92037 • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	La Jolla	CA	02/2016	Present
Morgan Stanley Private Bank, N.A.	New York	NY	02/2016	Present

02/2016 → Present

Morgan Stanley Smith Barney Llc

La Jolla, CA
02/2016 → Present

Morgan Stanley Private Bank, N.A.

New York, NY

Previous Registrations

2005-11-08 → 2016-02-11

Charles Schwab & Co., Inc.

San Diego, CA
2004-12-10 → 2005-11-15

Ubs Financial Services Inc.

La Jolla, CA
2004-09-01 → 2004-12-02

Wamu Investments, Inc.

La Jolla, CA
1999-01-22 → 2003-01-15

Citigroup Global Markets Inc.

La Jolla, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-04-13
S63	Uniform Securities Agent State Law Examination	1990-10-30

S65 Uniform Investment Adviser Law Examination

1995-04-13
S63 Uniform Securities Agent State Law Examination

1990-10-30

Other Names

James Onpong Kwei
James Frances Kwei

View on SEC IAPD

Current Employers

Morgan Stanley

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews