Stephen Michael Bernstein

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Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-04-15
CA	RA	APPROVED	2009-06-01
NJ	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2020-04-15
CA RA
APPROVED

Since 2009-06-01
NJ RA
APPROVED

Since 2009-06-01

Branch Locations

340 Mount Kemble Avenue, Morristown, NJ 07960 • United States

Manasquan, NJ • 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

Organization	City	State	From	To
Morgan Stanley & Co., Incorporated	Morristown	NJ	04/2007	Present
Morgan Stanley Smith Barney	Morristown	NJ	06/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

04/2007 → Present

Morgan Stanley & Co., Incorporated

Morristown, NJ
06/2009 → Present

Morgan Stanley Smith Barney

Morristown, NJ
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Morristown, NJ
2005-06-22 → 2007-04-02

Morgan Stanley Dw Inc.

Morristown, NJ

Morristown, NJ
2002-05-06 → 2005-07-06

Rbc Capital Markets, Llc

Florham Park, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-02-19
S63	Uniform Securities Agent State Law Examination	1994-05-25

S65 Uniform Investment Adviser Law Examination

1997-02-19
S63 Uniform Securities Agent State Law Examination

1994-05-25

Other Names

Steven Michael Bernstein

View on SEC IAPD

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