Lee Aaron Sperling

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:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2022-10-07
IN	RA	APPROVED	2021-08-24
TX	RA	APPROVED_RES	2021-07-27
NY	RA	APPROVED	2021-07-22

IL RA
APPROVED

Since 2022-10-07
IN RA
APPROVED

Since 2021-08-24
TX RA
APPROVED_RES

Since 2021-07-27
NY RA
APPROVED

Since 2021-07-22

Branch Locations

2000 Westchester Avenue 1Nc, Purchase, NY 10577 • United States

233 South Wacker Drive Suite 9200 Pwm, Chicago, IL 60606 • 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
J.P Morgan Securities Llc.	New York	NY	11/2011	07/2021
J.P. Morgan Chase Bank, Na	New York	NY	11/2016	07/2021
Newland St. Mark Llc	Charlotte	NC	02/2014	Present
Morgan Stanley Smith Barney Llc	Purchase	NY	07/2021	Present
Morgan Stanley Private Bank, N.A.	New York	NY	07/2021	Present

11/2011 → 07/2021

J.P Morgan Securities Llc.

New York, NY
11/2016 → 07/2021

J.P. Morgan Chase Bank, Na

New York, NY
02/2014 → Present

Newland St. Mark Llc

Charlotte, NC
07/2021 → Present

Morgan Stanley Smith Barney Llc

Purchase, NY
07/2021 → Present

Morgan Stanley Private Bank, N.A.

New York, NY

Other Businesses

*452123 - Newland - St Mark LLC; Investment related - Yes; Charlotte, North Carolina; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 10/2001; During business hours: 0; After business hours: 1; Accounting/Bookkeeping

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-08-23
S63	Uniform Securities Agent State Law Examination	2011-12-30

S65 Uniform Investment Adviser Law Examination

2021-08-23
S63 Uniform Securities Agent State Law Examination

2011-12-30

Other Names

Lee Sperling

View on SEC IAPD