Rick T Felix

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-07-22
CA	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2016-07-22
CA RA
APPROVED

Since 2009-06-01

Branch Locations

1999 Harrison Street Suite 2200, Oakland, CA 94612 • United States

Davis, CA • 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 Private Bank, N.A.	New York	NY	01/2015	Present
Morgan Stanley Smith Barney Llc	Oakland	CA	06/2013	Present

01/2015 → Present

Morgan Stanley Private Bank, N.A.

New York, NY
06/2013 → Present

Morgan Stanley Smith Barney Llc

Oakland, CA

Previous Registrations

2008-05-28 → 2009-06-01

Citigroup Global Markets Inc.

Berkeley, CA

Other Businesses

* 351895 - Rental Property; Investment related: Yes; Sacramento, California; Real Estate; Owner (proprietor, partner, officer, director, employee, trustee, agent); 09/2018; During business hours: 0; After business hours: 0; Other

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-05-21

S66 Uniform Combined State Law Examination

2008-05-21

View on SEC IAPD

Current Employers

Morgan Stanley

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

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