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Deborah H Sullivan

Morgan Stanley

San Luis Obispo, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-03-03
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-03-03
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

1321 Osos Street Suite 210, San Luis Obispo, CA 93401 • 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
OrganizationCityStateFromTo
Morgan Stanley Smith Barney San Luis Obispo CA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    San Luis Obispo, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    San Luis Obispo, CA
    Purchase, NY
    San Jose, CA
  • 2002-12-17 → 2007-04-02
    Morgan Stanley Dw Inc.
    Purchase, NY
    Purchase, NY
Other Businesses

1. SAN LUIS OBISPO REPUBLICAN WOMEN, FEDERATED; LOCAL CHAPTER NEW MEMBERSHIP CHAIR; ON FINANCE COMMITTEE; ATTEND ONE BOARD MEETING A MONTH AND MONTHLY CHAPTER MEETINGS; 5 HOURS AFTER BUSINESS; 0 DURING BUSINESS; 01/2014 2. *468344 - Trust; Investment related - Yes; San Luis Obispo, California; Successor; 12/2021; During business hours: 2; After business hours: 0;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-12-02
S63 Uniform Securities Agent State Law Examination 1994-06-23
  • S65 Uniform Investment Adviser Law Examination
    2002-12-02
  • S63 Uniform Securities Agent State Law Examination
    1994-06-23
Other Names
  • Deborah Marie Hartley
  • Deborah Hartley Sullivan

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