Shaun C Ferguson

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_RES	2020-04-23
NC	RA	APPROVED	2010-02-01

TX RA
APPROVED_RES

Since 2020-04-23
NC RA
APPROVED

Since 2010-02-01

Branch Locations

6805 Carnegie Boulevard Suite 400, Charlotte, NC 28211 • 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
Morgan Stanley Smith Barney	Charlotte	NC	11/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

11/2009 → Present

Morgan Stanley Smith Barney

Charlotte, NC
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Other Businesses

1. HERITAGE AT ARZELIE PLACE LLC MEMBER OF CORP IN REAL ESTATE VENTURE TO DEVELOP SUBDIVISION IN WESTERN NC STATUS INACTIVE START 2008 HRS O WILMINGTON NC 28405 2. HERITAGE AT LITTLE CHOGA, LLC; PROPERTY MANAGEMENT, RECORDS AND FILING.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-01-28

S66 Uniform Combined State Law Examination

2010-01-28

Other Names

Shawn Ferguson
Shaun Ferguson

View on SEC IAPD