John Vincent Keane

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-06-16

NY RA
APPROVED

Since 2021-06-16

Branch Locations

2000 Westchester Ave (Home Office), Purchase, NY 10577 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	White Plains	NY	01/2001	02/2018
Ubs Bank Usa	Stamford	CT	01/2001	02/2018
Morgan Stanley Smith Barney Llc	Purchase	NY	02/2018	Present

01/2001 → 02/2018

Ubs Financial Services Inc.

White Plains, NY
01/2001 → 02/2018

Ubs Bank Usa

Stamford, CT
02/2018 → Present

Morgan Stanley Smith Barney Llc

Purchase, NY

Previous Registrations

2006-07-27 → 2018-02-09

Ubs Financial Services Inc.

Weehawken, NJ

Purchase, NY

White Plains, NY

Jersey City, NJ

Weehawken, NJ

Weehawken, NJ

Weehawken, NJ

Weehawken, NJ

Weehawken, NJ

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-07-10
S65	Uniform Investment Adviser Law Examination	1996-07-10

S63 Uniform Securities Agent State Law Examination

1996-07-10
S65 Uniform Investment Adviser Law Examination

1996-07-10

Other Names

John Vincent Keane

View on SEC IAPD