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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-08-17
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2017-08-17
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

100 Wilshire Boulevard Suite 1900, Santa Monica, CA 90401 • United States

1999 Avenue Of The Stars Suite 2400, Los Angeles, CA 90067 • 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
Morgan Stanley Smith Barney Los Angeles CA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Los Angeles, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2001-04-09 → 2009-06-01
    Morgan Stanley & Co. Llc
    Los Angeles, CA
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-10-22
S63 Uniform Securities Agent State Law Examination 1992-08-10
  • S65 Uniform Investment Adviser Law Examination
    1993-10-22
  • S63 Uniform Securities Agent State Law Examination
    1992-08-10

View on SEC IAPD

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