Brian Randal Swenson

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
TX	RA	APPROVED	2024-01-02
UT	RA	APPROVED	2021-05-04

TX RA
APPROVED

Since 2024-01-02
UT RA
APPROVED

Since 2021-05-04

Branch Locations

845 Texas Avenue, Houston, TX 77002 • United States

60 East South Temple 20Th Floor, Salt Lake City, UT 84111 • United States

Alpine, UT • 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

Organization	City	State	From	To
Jpmorgan Securities Llc	Salt Lake City	UT	09/2015	04/2021
Jpmorgan Chase Bank Na	Salt Lake City	UT	09/2015	04/2021
Morgan Stanley Smith Barney Llc	Salt Lake City	UT	04/2021	Present
Morgan Stanley Private Bank, N.A	New York	NY	05/2021	Present

09/2015 → 04/2021

Jpmorgan Securities Llc

Salt Lake City, UT
09/2015 → 04/2021

Jpmorgan Chase Bank Na

Salt Lake City, UT
04/2021 → Present

Morgan Stanley Smith Barney Llc

Salt Lake City, UT
05/2021 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Other Businesses

*612556 - Real estate; Investment related: Yes; Provo, Utah; Real Estate; Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent); 9/2024; During business hours: 0; After business hours: 5; Property Management *621970 -Make-A-Wish; Investment Related - No; Murray, Utah: Children/Youth; Advisory Board, Finance Committee(Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 01/2025; During Business Hours: 2; After Business Hours: 1; Administrative, Accounting/Bookkeeping, Investment Decisions/Advice

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-05-03
S63	Uniform Securities Agent State Law Examination	2015-10-10

S66 Uniform Combined State Law Examination

2021-05-03
S63 Uniform Securities Agent State Law Examination

2015-10-10

View on SEC IAPD