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James E Horgan

Morgan Stanley

The Woodlands, TX

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2009-06-01
  • TX RA
    APPROVED
    Since 2009-06-01

Branch Locations

24 Waterway Avenue Suite 600, The Woodlands, TX 77380 • 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 Smith Barney Llc The Woodlands TX 06/2009 Present
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    The Woodlands, TX
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    The Woodlands, TX
  • 2000-05-25 → 2007-04-02
    Morgan Stanley Dw Inc.
    The Woodlands, TX
    Thewoodlands, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-05-07
S63 Uniform Securities Agent State Law Examination 1986-06-20
  • S65 Uniform Investment Adviser Law Examination
    1996-05-07
  • S63 Uniform Securities Agent State Law Examination
    1986-06-20
Other Names
  • Jim Horgan
  • James E Horgan
  • James Edward Horgan
  • James E Horgan Cfp Tm
  • James Edward Horgan

View on SEC IAPD

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Other Investors

DANIEL CORAL GOODWIN
Jeffrey Douglas Hackett
KRISTIN LEE SANDERS
JENNIFER JOYCE CHACHERE
LEISL MAJ DODSON
THOMAS JAMES HAYES
JAMES ALBERT MAHDAK
SUSAN MARIE HILL

Other Offices

PROVIDENT WEALTH ADVISORS, LLC · THE WOODLANDS, TX
AMERIPRISE FINANCIAL SERVICES, LLC · THE WOODLANDS, TX
J. W. COLE ADVISORS, INC. · THE WOODLANDS, TX
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · The Woodlands, TX
AMERIPRISE FINANCIAL SERVICES, LLC · The Woodlands, TX
ROSSBY FINANCIAL, LLC · The Woodlands, TX
STATE FARM INVESTMENT MANAGEMENT CORP. · The Woodlands, TX
ALLSTATE FINANCIAL ADVISORS, LLC · Spring, TX

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