Dann Spear Sokol

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2016-03-07
TX	RA	APPROVED_RES	2011-05-03
NJ	RA	APPROVED	2009-06-01

CA RA
APPROVED

Since 2016-03-07
TX RA
APPROVED_RES

Since 2011-05-03
NJ RA
APPROVED

Since 2009-06-01

Branch Locations

6037 La Flecha Suite 200, Rancho Santa Fe, CA 92067 • United States

6041 La Flecha Post Off Box 415, Rancho Sante Fe, CA 92067 • United States

Rancho Santa Fe, CA • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney	Rancho Sante Fe	CA	06/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

06/2009 → Present

Morgan Stanley Smith Barney

Rancho Sante Fe, CA
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Red Bank, NJ
2002-06-20 → 2007-04-02

Morgan Stanley Dw Inc.

Red Bank, NJ

Red Bank, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-07-09
S63	Uniform Securities Agent State Law Examination	1983-12-14

S65 Uniform Investment Adviser Law Examination

1996-07-09
S63 Uniform Securities Agent State Law Examination

1983-12-14

View on SEC IAPD

Current Employers

Morgan Stanley

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews