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Morgan Stanley CRD 149777
$1.96T regulatory AUM 416,984 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-16 |
| TX | RA | APPROVED_RES | 2020-05-18 |
Branch Locations
55 East 52Nd Street 12Th Floor, New York, NY 10055 • United States
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | New York | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | 01/2019 |
| Morgan Stanley Smith Barney Llc | New York | NY | 01/2019 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 02/2019 | Present |
2.EXECUTOR FOR FATHER; INVESTMENT RELATED; NEW YORK, NY; START DATE 4/2014; 5 HRS PER MONTH; 1 HR DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-11 |
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