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Joseph Charles Serrato

Morgan Stanley

Destin, FL

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-08
FL RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-04-08
  • FL RA
    APPROVED
    Since 2009-06-01

Branch Locations

4458 Legendary Drive Suite 300, Destin, FL 32541 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Destin FL 05/2014 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 05/2014 → Present
    Morgan Stanley Smith Barney
    Destin, FL
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-05-14
S63 Uniform Securities Agent State Law Examination 2002-10-24
  • S65 Uniform Investment Adviser Law Examination
    2003-05-14
  • S63 Uniform Securities Agent State Law Examination
    2002-10-24
Other Names
  • Joe Serrato
  • Joseph Serrato

View on SEC IAPD

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