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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-01-26
  • CA RA
    APPROVED
    Since 2015-01-26

Branch Locations

9665 Wilshire Boulevard Suite 600, Beverly Hills, CA 90212 • United States

Disclosures

2 disclosure categories 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Beverly Hills CA 01/2015 Present
Morgan Stanley Private Bank, National Association New York NY 04/2015 Present
  • 01/2015 → Present
    Beverly Hills, CA
  • 04/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2012-10-29 → 2015-02-10
    Barclays Capital Inc.
    Beverly Hills, CA
    Los Angeles, CA
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-10-23
S65 Uniform Investment Adviser Law Examination 1993-10-08
S63 Uniform Securities Agent State Law Examination 1993-09-14
  • S66 Uniform Combined State Law Examination
    2012-10-23
  • S65 Uniform Investment Adviser Law Examination
    1993-10-08
  • S63 Uniform Securities Agent State Law Examination
    1993-09-14
Other Names
  • Warren Seth Cohn

View on SEC IAPD

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