John Christopher Auer

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2010-08-13
IA	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2010-08-13
IA RA
APPROVED

Since 2009-06-01

Branch Locations

1080 Jordan Creek Parkway Suite 400 North, West Des Moines, IA 50266 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Citigroup Global Markets Inc.	Des Moines	IA	07/1993	Present
Morgan Stanley Smith Barney	Des Moines	IA	06/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

07/1993 → Present

Citigroup Global Markets Inc.

Des Moines, IA
06/2009 → Present

Morgan Stanley Smith Barney

Des Moines, IA
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

1999-01-01 → 2009-06-01

Citigroup Global Markets Inc.

Des Moines, IA

Des Moines, IA

Other Businesses

*448626- Coaches vs Cancer; Investment related No; Des Moines, Iowa; Health and Welfare; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 06/2013; During business hours: 2; After business hours: 1;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-04-15
S63	Uniform Securities Agent State Law Examination	1992-04-10

S65 Uniform Investment Adviser Law Examination

1992-04-15
S63 Uniform Securities Agent State Law Examination

1992-04-10

Other Names

John C Auer

View on SEC IAPD