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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-05-13
  • TX RA
    APPROVED_RES
    Since 2020-05-13

Branch Locations

Northborough, MA • United States

1 Technology Drive, Westborough, MA 01581 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Westborough MA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Westborough, MA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Other Businesses

*549082 - Ecotarium museum of science and nature; Investment related No; Worcester, Massachusetts; Animals, Children/Youth, Civic/Community; Finance Committee (proprietor, partner, officer, director, employee, trustee, agent); 04/2023 ; During business hours: 1; After business hours: 0; Labor/Service, Administrative.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-26
S63 Uniform Securities Agent State Law Examination 1993-06-16
  • S65 Uniform Investment Adviser Law Examination
    1996-06-26
  • S63 Uniform Securities Agent State Law Examination
    1993-06-16

View on SEC IAPD

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