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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-11-07 |
| TX | RA | APPROVED | 2025-11-07 |
Branch Locations
800 Newport Center Drive Suite 500, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Irvine | CA | 11/2013 | 11/2025 |
| Morgan Stanley Smith Barney Llc | Newport Beach | CA | 11/2025 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 12/2025 | Present |
(1) ESTATE OF DAN L. MORGAN / NOT INVESTMENT RELATED / BREA, CA / FATHER'S ESTATE / TRUSTEE / START MAY 2004 / 4 HOURS DEVOTED MONTHLY / MINIMAL DURING TRADING HOURS / DUTIES: ADMINISTRATIVE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-06-13 |
| S63 | Uniform Securities Agent State Law Examination | 1991-09-11 |
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