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Morgan Stanley CRD 149777
$1.96T regulatory AUM 416,984 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2022-06-07 |
| NY | RA | APPROVED | 2021-08-30 |
| TX | RA | APPROVED_RES | 2020-05-18 |
Branch Locations
55 East 52Nd Street 12Th Floor, New York, NY 10055 • United States
340 Mount Kemble Avenue, Morristown, NJ 07960 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | New York | NY | 05/2011 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*431509 â?" Mayer Brothers Capital Management, LLC; Investment related Yes; Bernardsville, NJ; Consulting, Investment/Finance/Banking; Board Member (proprietor, partner, officer, director, employee, trustee, agent); April 2021; During business hours: 0; After business hours: 1; Administrative. *563263- Mayer Family Associates, LP; Investment related -Yes; Bernardsville, New Jersey; Investment/Finance/Banking; Partner (proprietor, partner, officer, director, employee, trustee, agent); 01/1994; During business hours: 0; After business hours: 0.5; Administrative
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-07-28 |
| S63 | Uniform Securities Agent State Law Examination | 1992-06-19 |
| S65 | Uniform Investment Adviser Law Examination | 1992-04-17 |
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