William Joseph Uthe

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-05-05
NC	RA	APPROVED	2010-09-30

TX RA
APPROVED_RES

Since 2020-05-05
NC RA
APPROVED

Since 2010-09-30

Branch Locations

1000 Social St Suite 1250, Raleigh, NC 27609 • 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
Morgan Stanley Smith Barney	Raleigh	NC	09/2010	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

09/2010 → Present

Morgan Stanley Smith Barney

Raleigh, NC
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2002-07-25 → 2010-10-08

Ubs Financial Services Inc.

Raleigh, NC

Raleigh, NC
2002-06-21 → 2002-07-25

Wells Fargo Clearing Services, Llc

Raleigh, NC
2002-01-28 → 2002-06-21

Wachovia Securities, Inc.

Raleigh, NC

Other Businesses

*592836 - BBOO LLC ; Investment related - Yes ; Raleigh,North Carolina ; Agriculture ; Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent) ; 5/2024 ; During business hours : 0 ; After business hours : 0 ; investment only

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-12-06
S63	Uniform Securities Agent State Law Examination	1992-08-28

S65 Uniform Investment Adviser Law Examination

1993-12-06
S63 Uniform Securities Agent State Law Examination

1992-08-28

Other Names

Josh Uthe

View on SEC IAPD