Seth Lawrence Hart

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-06-16
NJ	RA	APPROVED	2014-05-05
TX	RA	APPROVED	2014-04-04

NY RA
APPROVED

Since 2021-06-16
NJ RA
APPROVED

Since 2014-05-05
TX RA
APPROVED

Since 2014-04-04

Branch Locations

One Penn Plaza 43Rd Floor, New York, NY 10119 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Morgan Stanley	New York	NY	04/2014	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

04/2014 → Present

Morgan Stanley

New York, NY
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2006-07-10 → 2014-04-09

Hsbc Securities (Usa) Inc.

New York, NY

New York, NY

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-12-17
S63	Uniform Securities Agent State Law Examination	1993-03-10

S65 Uniform Investment Adviser Law Examination

2013-12-17
S63 Uniform Securities Agent State Law Examination

1993-03-10

Other Names

Seth L Hart
Seth L Hart

View on SEC IAPD