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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-03-03 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
555 California Street 35Th Floor, San Francisco, CA 94104 • United States
Fremont, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | San Francisco | CA | 06/2009 | Present |
*403409 - Tom and Kristina DeMartini; Investment related No; Burlingame, CA; Loan to Family Member; Employee (proprietor, partner, officer, director, employee, trustee, agent); June 2020; During business hours: 0; After business hours: 0.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-02-03 |
| S63 | Uniform Securities Agent State Law Examination | 1995-10-03 |
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