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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2016-02-03
FL RA APPROVED 2009-06-09
OH RA APPROVED 2009-06-01
TX RA APPROVED_RES 2009-06-01
  • ME RA
    APPROVED
    Since 2016-02-03
  • FL RA
    APPROVED
    Since 2009-06-09
  • OH RA
    APPROVED
    Since 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2009-06-01

Branch Locations

221 East 4Th Street Atrium Building, Cincinnati, OH 45202 • United States

Cincinnati, OH • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Cincinnati OH 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Cincinnati, OH
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-08-31
S63 Uniform Securities Agent State Law Examination 1980-03-22
  • S65 Uniform Investment Adviser Law Examination
    1993-08-31
  • S63 Uniform Securities Agent State Law Examination
    1980-03-22
Other Names
  • Dean Trindle

View on SEC IAPD

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