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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 |
|---|---|---|---|
| VA | RA | APPROVED | 2024-05-13 |
| NY | RA | APPROVED | 2023-06-21 |
| TX | RA | APPROVED | 2020-10-12 |
Branch Locations
55 East 52Nd Street 12Th Floor, New York, NY 10055 • United States
8701 Bee Caves Road Suite 300, Austin, TX 78746 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 09/1999 | 09/2020 |
| Bank Of America, N.A. | New York | NY | 04/2015 | 09/2020 |
| Morgan Stanley Smith Barney Llc | Austin | TX | 09/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-07 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-30 |
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