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Morgan Stanley CRD 149777
$1.96T regulatory AUM 416,984 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MT | RA | APPROVED | 2024-08-28 |
| TX | RA | APPROVED_RES | 2019-08-30 |
| CA | RA | APPROVED | 2009-06-01 |
| OK | RA | APPROVED | 2009-06-01 |
| WA | RA | APPROVED | 2009-06-01 |
Branch Locations
101 California Street Region 2- Pacific Coast, San Francisco, CA 94111 • United States
2 Theatre Square Suite 322, Orinda, CA 94563 • United States
Polson, MT • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | San Francisco | CA | 06/2009 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1993-11-02 |
| S65 | Uniform Investment Adviser Law Examination | 1993-11-02 |
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