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Neal Thomas Baron

Morgan Stanley

Washington, DC

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-08
DC RA APPROVED 2015-11-18
  • TX RA
    APPROVED_RES
    Since 2020-04-08
  • DC RA
    APPROVED
    Since 2015-11-18

Branch Locations

1775 I Street, North West Suite 200, Washington, DC 20006 • 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 Washington DC 10/2015 Present
Morgan Stanley Private Bank, National Association New York NY 11/2015 Present
  • 10/2015 → Present
    Morgan Stanley
    Washington, DC
  • 11/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2008-01-01 → 2015-11-02
    Wells Fargo Clearing Services, Llc
    Washington, DC
    Washington, DC
  • 1999-07-10 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Washington, DC
    Washington, DC
    St. Louis, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-05-17
S63 Uniform Securities Agent State Law Examination 1979-12-07
  • S65 Uniform Investment Adviser Law Examination
    1991-05-17
  • S63 Uniform Securities Agent State Law Examination
    1979-12-07

View on SEC IAPD

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BRYSPEN, INCORPORATED · WASHINGTON, DC
3WIRE INVESTMENT · WASHINGTON, DC
LPL FINANCIAL LLC · WASHINGTON, DC
ORIDIAN CAPITAL MANAGEMENT, L.P. · WASHINGTON, DC
C5 CAPITAL USA LLC · WASHINGTON, DC
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DOMINION FINANCIAL CONSULTANTS, LLC · WASHINGTON, DC
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