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Stephen Prefontaine Aguglia

Morgan Stanley

Saratoga Springs, NY

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-08-31
NY RA APPROVED 2021-06-16
VT RA APPROVED 2018-11-28
  • TX RA
    APPROVED_RES
    Since 2026-08-31
  • NY RA
    APPROVED
    Since 2021-06-16
  • VT RA
    APPROVED
    Since 2018-11-28

Branch Locations

340 Broadway 2Nd Floor, Saratoga Springs, NY 12866 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Albany NY 09/2011 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 09/2011 → Present
    Morgan Stanley Smith Barney
    Albany, NY
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-11-22
S63 Uniform Securities Agent State Law Examination 2008-09-19
  • S65 Uniform Investment Adviser Law Examination
    2011-11-22
  • S63 Uniform Securities Agent State Law Examination
    2008-09-19

View on SEC IAPD

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NYE STREET PARTNERS LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LPL FINANCIAL LLC

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ALAN JAY BOGATCH
JESSICA SUZANNE NILES
STEPHEN EDWARD KRAKOWER

Other Offices

SARATOGA INVESTMENT SOLUTIONS INC. · SARATOGA SPRINGS, NY
COMMONWEALTH FINANCIAL NETWORK · Saratoga Springs, NY
JANNEY MONTGOMERY SCOTT LLC · SARATOGA SPRINGS, NY
CONTINUUM WEALTH ADVISORS, LLC · SARATOGA SPRINGS, NY
STERLING MANOR FINANCIAL, LLC · SARATOGA SPRINGS, NY
NYE STREET PARTNERS LLC · SARATOGA SPRINGS, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SARATOGA SPRINGS, NY
LPL FINANCIAL LLC · SARATOGA SPRINGS, NY

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