Gerard S. Spiegel Jr.

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-04-11
TX	RA	APPROVED_RES	2018-11-19
CT	RA	APPROVED	2009-06-01

FL RA
APPROVED

Since 2023-04-11
TX RA
APPROVED_RES

Since 2018-11-19
CT RA
APPROVED

Since 2009-06-01

Branch Locations

500 Post Road East 3Rd Floor, Westport, CT 06880 • 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 Llc	Fairfield	CT	06/2009	Present
Morgan Stanley Private Bank, N.A.	New York	NY	01/2015	Present

06/2009 → Present

Morgan Stanley Smith Barney Llc

Fairfield, CT
01/2015 → Present

Morgan Stanley Private Bank, N.A.

New York, NY

Previous Registrations

2007-06-01 → 2009-06-01

Morgan Stanley & Co. Llc

Fairfield, CT
1993-11-08 → 2007-06-15

Citigroup Global Markets Inc.

Westport, CT

Westport, CT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-09-10
S63	Uniform Securities Agent State Law Examination	1993-08-27

S65 Uniform Investment Adviser Law Examination

1993-09-10
S63 Uniform Securities Agent State Law Examination

1993-08-27

Other Names

Rod Spiegel
Gerard Stephen Jr Spiegel
Gerard Stephen Spiegel
Gerard S. Spiegel Jr.
Gerard S. Spiegel
Gerard S. Spiegel Jr

View on SEC IAPD