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Neal Henry Fearn

Morgan Stanley

Stockton, CA

CRD 2391092

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Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-02-24
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED
    Since 2020-02-24
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

3421 Brookside Road Suite A, Stockton, CA 95219 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley San Jose CA 06/2009 Present
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
Morgan Stanley Stockton CA 09/2016 Present
  • 06/2009 → Present
    Morgan Stanley
    San Jose, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 09/2016 → Present
    Morgan Stanley
    Stockton, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-01-10
S63 Uniform Securities Agent State Law Examination 1993-10-29
  • S65 Uniform Investment Adviser Law Examination
    1994-01-10
  • S63 Uniform Securities Agent State Law Examination
    1993-10-29
Designations
  • Certified Financial Planner
Other Names
  • Neal Henry Fearn

View on SEC IAPD

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