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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-03-15 |
| CA | RA | APPROVED | 2021-04-09 |
Branch Locations
609 Deep Valley Drive Suite 400, Rolling Hills Estates, CA 90274 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors | El Segundo | CA | 09/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | El Segundo | CA | 11/2016 | 04/2021 |
| Morgan Stanley Smith Barney Llc | Rolling Hills Estates | CA | 04/2021 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 05/2021 | Present |
*432043 - Rotary Club of Historic Filipinotown; Investment related Yes; Los Angeles, CA; Non-Profit; Board Member (proprietor, partner, officer, director, employee, trustee, agent); Jan 2007; During business hours: 0; After business hours: 4; Labor/Service.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-01-04 |
| S63 | Uniform Securities Agent State Law Examination | 1998-12-30 |
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