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James Thomas Whalen Iii

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
NY RA APPROVED 2021-06-16
TX RA APPROVED_RES 2020-04-23
CT RA APPROVED 2014-08-19
  • NY RA
    APPROVED
    Since 2021-06-16
  • TX RA
    APPROVED_RES
    Since 2020-04-23
  • CT RA
    APPROVED
    Since 2014-08-19

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 Saratoga Springs NY 06/2014 Present
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
  • 06/2014 → Present
    Saratoga Springs, NY
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Other Businesses

BUSINESS / COMPANY;OKEMO MOUNTAIN RESORT;COACHING SKI RACING ON THE WEEKENDS;8 HRS OUTSIDE BUSINESS ACTIVITY *206876 - Vail Resorts; Investment related: No; Broomfield, Colorado; Recreation; Employee (proprietor, partner, officer, director, employee, trustee, agent); 12/2025; During business hours: 0; After business hours: 16; Coachin kids age 7-9 in various ski racing fundamentals

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-19
  • S66 Uniform Combined State Law Examination
    2014-08-19
Other Names
  • James Thomas Whalen
  • James Thomas Whalen

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