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Morgan Stanley CRD 149777
$1.96T regulatory AUM 416,984 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-11-21 |
| FL | RA | APPROVED | 2024-09-17 |
| NC | RA | APPROVED | 2024-09-16 |
Branch Locations
Hendersonville, NC • United States
1801 North Military Trail Suite 300, Boca Raton, FL 33431 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | Coral Springs | FL | 03/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Coral Springs | FL | 11/2016 | 09/2024 |
| Morgan Stanley Smith Barney Llc | Hendersonville | NC | 09/2024 | 06/2025 |
| Morgan Stanley Smith Barney Llc | Boca Raton | FL | 09/2024 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 04/2025 | Present |
(1) CO-TRUSTEE FOR SPOUSE / INVESTMENT RELATED / CORAL SPRINGS, FL / START MARCH-2012 / 0 HOURS DEVOTED PER MONTH / 0 DURING TRADING HOURS. (2) TEMPLE BETH TORAH SHA'ARAY TZEDEK / INVESTMENT RELATED / TAMARAC, FL, / INVESTMENT COMMITTEE MEMBER / START 03-JANUARY-2022 / 1 HOUR DEVOTED PER MONTH / 0 HOURS DURING TRADING HOURS / DISCUSSING AND REVIEWING INVESTMENTS. *613378 - TEMPLE BETH TORAH SHA'ARAY TZEDEK; Investment Related - No; Tamarac, Florida; Non-Profit; Investment Committee (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 07/2023; During Business Hours: 0; After Business Hours: 1; Investment Decisions/Advice.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-09-09 |
| S63 | Uniform Securities Agent State Law Examination | 1982-03-31 |
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