Samuel James Mccormick

CRD 6391258

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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
NY	RA	APPROVED	2021-06-16
CT	RA	APPROVED	2017-07-24
MD	RA	APPROVED	2016-10-14
DC	RA	APPROVED	2016-04-13
UT	RA	APPROVED	2016-03-24
TX	RA	APPROVED	2015-10-01

NY RA
APPROVED

Since 2021-06-16
CT RA
APPROVED

Since 2017-07-24
MD RA
APPROVED

Since 2016-10-14
DC RA
APPROVED

Since 2016-04-13
UT RA
APPROVED

Since 2016-03-24
TX RA
APPROVED

Since 2015-10-01

Branch Locations

55 East 52Nd Street 10Th Floor, New York, NY 10055 • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Washington	DC	03/2016	07/2017
Morgan Stanley Private Bank, N.A.	New York	NY	03/2016	Present
Morgan Stanley	New York	NY	07/2017	Present

03/2016 → 07/2017

Morgan Stanley Smith Barney Llc

Washington, DC
03/2016 → Present

Morgan Stanley Private Bank, N.A.

New York, NY
07/2017 → Present

Morgan Stanley

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-02-20

S66 Uniform Combined State Law Examination

2015-02-20

View on SEC IAPD

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