David Thomas Locke

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → Present
  Morgan Stanley Smith Barney
  Providence, RI
• 01/2015 → Present
  Morgan Stanley Private Bank, National Association
  New York, NY

Previous Registrations

• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Providence, RI
• 2007-02-02 → 2007-04-02
  Morgan Stanley Dw Inc.
  Providence, RI
• 2003-07-01 → 2007-02-05
  Wells Fargo Clearing Services, Llc
  Newport, RI
  Newport, RI
• 2001-09-04 → 2003-07-01
  Prudential Equity Group, Llc
  Newport, RI

Other Businesses

1. LSB PROPERTIES, INVESTMENT RELATED, WARWICK RI, REAL ESTATE INVESTMENT, OWNER, BEGAN 2002, 3 HOURS/MONTH, NOT DURING BUSINESS HOURS, BUYING INVESTMENT REAL ESTATE.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-05-11
• S63 Uniform Securities Agent State Law Examination
  1994-04-07

Other Names

• David Thomas Locke