Stephen F Braun

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Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2021-04-27
TX	RA	APPROVED_RES	2020-04-02
NJ	RA	APPROVED	2009-06-01

FL RA
APPROVED

Since 2021-04-27
TX RA
APPROVED_RES

Since 2020-04-02
NJ RA
APPROVED

Since 2009-06-01

Branch Locations

Naples, FL • United States

20 Linden Place, Red Bank, NJ 07701 • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney	Red Bank	NJ	06/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

06/2009 → Present

Morgan Stanley Smith Barney

Red Bank, NJ
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

Short Hills, NJ

Red Bank, NJ
2005-03-04 → 2007-04-02

Morgan Stanley Dw Inc.

Short Hills, NJ

Short Hills, NJ
2003-07-01 → 2005-03-07

Wells Fargo Clearing Services, Llc

Short Hills, NJ
2002-06-05 → 2003-07-01

Prudential Equity Group, Llc

Short Hills, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-05-14
S63	Uniform Securities Agent State Law Examination	1981-07-14

S65 Uniform Investment Adviser Law Examination

1992-05-14
S63 Uniform Securities Agent State Law Examination

1981-07-14

Other Names

Stephen Francis Braun
Stephen Francis Braun

View on SEC IAPD

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