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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2019-01-28 |
| TX | RA | APPROVED | 2019-01-25 |
Branch Locations
101 California Street 23Rd Floor, San Francisco, CA 94111 • United States
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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | San Francisco | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Francisco | CA | 11/2016 | 01/2019 |
| Morgan Stanley Smith Barney Llc | San Francisco | CA | 01/2019 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 02/2019 | Present |
(1) 364214 - Glaucoma Research Foundation / Not Investment Related / San Francisco, CA / Charity / Private Foundation / Board Member / Start 01-January-2015 / During business hours: 1 / After business hours: 2. (2) 414683 - Community Housing Foundation of Mill Valley / Not Investment Related / Mill Valley, CA / Civic, Community / Economic Assistance / Board Member, Finance Committee, Founder, Other Committee / Start 22-October-2020 / During business hours: 0 / After business hours: 8 / Business Development and Growth, Fundraising, Marketing.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-05 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-17 |
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