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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2009-06-01
TX RA APPROVED_RES 2009-06-01
  • CO RA
    APPROVED
    Since 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2009-06-01

Branch Locations

1550 Market Street Suite 600, Denver, CO 80202 • United States

Silverthorn, CO • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley & Co., Incorporated Denver CO 04/2007 Present
Morgan Stanley Smith Barney Denver CO 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 04/2007 → Present
    Morgan Stanley & Co., Incorporated
    Denver, CO
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Denver, CO
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Denver, CO
  • 1999-11-19 → 2007-04-02
    Morgan Stanley Dw Inc.
    Denver, CO
    Denver, CO
Other Businesses

1)BOARD MEMBER WITH THE HARRY L. & EVA J. PUKSTA FOUNDATION. 2)MAGNOLIA RESTAURANT. 3) Rental property; Investment related Yes; Ave Denver,CO; Rental; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent);Jun/2018; During business hours: 0; After business hours: 2; rental property owner. 4)*222317- Karpata LLC; Investment related -Yes; Denver, Colorado; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 08/2011; During business hours: 0; After business hours: 0; *346514- Tolo LLC; Investment related Yes; Denver, Colorado; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 06/2018 During business hours: 0; After business hours: 0; *470322- Mi Dushi LLC; Investment related Yes; Denver, Colorado; Real Estate;Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 01/2022; During business hours: 0; After business hours: 0; Administrative, Other *499070 : Sunchi LLC ; Investment related : Yes ; Wheat Ridge ; Colorado ; Real Estate ; Officer(proprietor, partner, officer, director, employee, trustee, agent) ; 10/2022 ; During business hours : 0 ; After business hours : 5 ; Property Management *563370 - Something Special LLC; Investment related: Yes; Littleton, Colorado; Rental Property; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 12/2023; During business hours: 1; After business hours: 0; Administrative *568916- Windsock LLC; Investment related Yes; Wheat Ridge, Colorado; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 09/2023; During business hours: 0; After business hours: 2; Property Management, Check Signing/Funds Disbursements, Administrative *573283- The Lake LLC; Investment related: Yes; Dillon, Colorado; Rental Property; Partner (proprietor, partner, officer, director, employee, trustee, agent); 11/2023; During business hours: 0; After business hours: 1; Administrative *582343- Pink Beach LLC; Investment related: Yes; Denver, Colorado; Rental Property; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 02/2024; During business hours: 0; After business hours: 1; Administrative

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-28
S63 Uniform Securities Agent State Law Examination 1995-09-19
  • S65 Uniform Investment Adviser Law Examination
    1995-10-28
  • S63 Uniform Securities Agent State Law Examination
    1995-09-19

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