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Allan Keith Walsworth

Morgan Stanley

San Jose, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-20
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-02-20
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

225 West Santa Clara Street Suite 900, San Jose, CA 95113 • 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
OrganizationCityStateFromTo
Citigroup Global Markets Inc. San Jose CA 09/1996 Present
Morgan Stanley Smith Barney San Jose CA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 09/1996 → Present
    Citigroup Global Markets Inc.
    San Jose, CA
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    San Jose, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-08-11
S63 Uniform Securities Agent State Law Examination 1992-08-26
  • S65 Uniform Investment Adviser Law Examination
    1997-08-11
  • S63 Uniform Securities Agent State Law Examination
    1992-08-26
Other Names
  • Keith Walsworth

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

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