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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-01-19
TX RA APPROVED_RES 2020-03-19
CT RA APPROVED 2013-08-26
  • FL RA
    APPROVED
    Since 2022-01-19
  • TX RA
    APPROVED_RES
    Since 2020-03-19
  • CT RA
    APPROVED
    Since 2013-08-26

Branch Locations

350 East Las Olas Boulevard Suite 1500, Fort Lauderdale, FL 33301 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Waltham MA 06/2009 12/2021
Morgan Stanley Private Bank, N.A. New York NY 09/2019 Present
Morgan Stanley Fort Lauderdale FL 12/2021 Present
  • 06/2009 → 12/2021
    Morgan Stanley Smith Barney
    Waltham, MA
  • 09/2019 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 12/2021 → Present
    Fort Lauderdale, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-08-26
S63 Uniform Securities Agent State Law Examination 1996-05-29
  • S65 Uniform Investment Adviser Law Examination
    2013-08-26
  • S63 Uniform Securities Agent State Law Examination
    1996-05-29

View on SEC IAPD

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