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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-16 |
| NJ | RA | APPROVED | 2021-02-17 |
| TX | RA | APPROVED | 2021-02-16 |
Branch Locations
One Penn Plaza 43Rd Floor, New York, NY 10119 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Securities (Usa) Inc. | New York | NY | 04/2015 | 02/2021 |
| Hsbc Bank Usa, N.A. | New York | NY | 08/2016 | 02/2021 |
| Morgan Stanley Smith Barney Llc | New York | NY | 02/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 03/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-03-28 |
| S65 | Uniform Investment Adviser Law Examination | 1997-08-19 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-04 |
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