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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2022-02-16 |
| NY | RA | APPROVED | 2021-06-16 |
| TX | RA | APPROVED_RES | 2020-04-15 |
| NJ | RA | APPROVED | 2011-03-23 |
Branch Locations
55 East 52Nd Street 12Th Floor, New York, NY 10055 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | New York | NY | 06/2009 | Present |
1. The Ohio State University; Not Investment related; Ohio; Government / Municipality; AD HOC Member (proprietor, partner, officer, director, employee, trustee, agent); Dec 2008r; During business hours: 0; After business hours: 16; Review the Endowment annual report
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-03-22 |
| S63 | Uniform Securities Agent State Law Examination | 1979-10-03 |
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