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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2021-07-12 |
| TX | RA | APPROVED_RES | 2021-07-09 |
Branch Locations
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 |
|---|---|---|---|---|
| Wachovia Bank, N.A. | Miami | FL | 06/2002 | 07/2021 |
| Wells Fargo Advisors Llc | Miami | FL | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Miami | FL | 11/2016 | 07/2021 |
| Morgan Stanley Smith Barney Llc | Miami | FL | 07/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 07/2021 | Present |
*447113 - Rental Property; Investment related - Yes; Miami, Florida; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent);08/2012; During business hours: 0; After business hours: 2; Property Management
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-06-29 |
| S65 | Uniform Investment Adviser Law Examination | 2001-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-14 |
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