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Moosa M Rizvi

Morgan Stanley

Oak Brook, IL

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2025-12-02
TX RA APPROVED_RES 2020-03-26
IL RA APPROVED 2017-04-04
  • IN RA
    APPROVED
    Since 2025-12-02
  • TX RA
    APPROVED_RES
    Since 2020-03-26
  • IL RA
    APPROVED
    Since 2017-04-04

Branch Locations

2211 York Road Suite 100, Oak Brook, IL 60523 • 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
Bmo Harris Financial Advisors, Inc Barrington IL 09/2013 03/2017
Morgan Stanley Smith Barney Llc Oak Brook IL 03/2017 Present
  • 09/2013 → 03/2017
    Bmo Harris Financial Advisors, Inc
    Barrington, IL
  • 03/2017 → Present
    Morgan Stanley Smith Barney Llc
    Oak Brook, IL
Previous Registrations
  • 2016-04-25 → 2017-03-20
    Bmo Harris Financial Advisors, Inc.
    Barrington, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-04-25
S63 Uniform Securities Agent State Law Examination 2016-04-04
  • S65 Uniform Investment Adviser Law Examination
    2016-04-25
  • S63 Uniform Securities Agent State Law Examination
    2016-04-04

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · OAK BROOK, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Oak Brook, IL
WEALTHQUEST CORPORATION · OAK BROOK, IL
ERGAWEALTH ADVISORS, INC. · OAK BROOK, IL
CETERA INVESTMENT ADVISERS LLC · OAK BROOK, IL
LPL FINANCIAL LLC · OAK BROOK, IL

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