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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-02-27
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2019-02-27
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

800 Newport Center Drive Suite 500, Newport Beach, CA 92660 • United States

Irvine, CA • 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 & Co., Incorporated Irvine CA 04/2007 Present
Morgan Stanley Smith Barney Newport Beach CA 06/2009 Present
  • 04/2007 → Present
    Morgan Stanley & Co., Incorporated
    Irvine, CA
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Newport Beach, CA
Previous Registrations
  • 2008-03-05 → 2009-06-01
    Morgan Stanley & Co. Llc
    Newport Beach, CA
    Santa Ana, CA
    Irvine, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-03-05
S63 Uniform Securities Agent State Law Examination 1992-11-24
  • S66 Uniform Combined State Law Examination
    2009-03-05
  • S63 Uniform Securities Agent State Law Examination
    1992-11-24

View on SEC IAPD

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