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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2025-07-14 |
| TX | RA | APPROVED | 2022-01-24 |
| AZ | RA | APPROVED | 2021-12-23 |
Branch Locations
6805 Carnegie Boulevard Suite 400, Charlotte, NC 28211 • United States
14850 North Scottsdale Road Suite 600, Scottsdale, AZ 85254 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Charlotte | NC | 09/2021 | Present |
| Northern Trust Investments Inc. | Temple | AZ | 07/2015 | 08/2021 |
| Morgan Stanley Private Bank, N.A | New York | NY | 07/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 2010-10-04 |
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