John C Schwalbach

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-09-12
IL	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2016-09-12
IL RA
APPROVED

Since 2009-06-01

Branch Locations

760 West Main Street Suite 200, Barrington, IL 60010 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney	Waukesha	WI	06/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

06/2009 → Present

Morgan Stanley Smith Barney

Waukesha, WI
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

1997-12-28 → 2009-06-01

Citigroup Global Markets Inc.

Milwaukee, WI

Deerfield, IL

Deerfield, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-12-23
S63	Uniform Securities Agent State Law Examination	1993-12-17

S65 Uniform Investment Adviser Law Examination

1993-12-23
S63 Uniform Securities Agent State Law Examination

1993-12-17

Other Names

John C Schwalbach
John Christopher Schwalbach

View on SEC IAPD