Robert David Sherwin

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-04-02
FL	RA	APPROVED	2018-02-01
RI	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2020-04-02
FL RA
APPROVED

Since 2018-02-01
RI RA
APPROVED

Since 2009-06-01

Branch Locations

One Financial Plaza 19Th Floor, Providence, RI 02903 • United States

Boynton Beach, FL • 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 Llc	Boynton Beach	FL	06/2009	Present
Morgan Stanley Private Bank, N.A.	New York	NY	01/2015	Present

06/2009 → Present

Morgan Stanley Smith Barney Llc

Boynton Beach, FL
01/2015 → Present

Morgan Stanley Private Bank, N.A.

New York, NY

Previous Registrations

2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Providence, RI
1995-09-27 → 2007-04-02

Morgan Stanley Dw Inc.

Providence, RI

Providence, RI

Other Businesses

1. JEWISH FEDERATION OF RI ENDOWMENT FUND; INVESTMENT COMMITTEE CHAIRMAN; PROVIDENCE, RI; CHAIR INVESTMENT COMMITTEE MEETINGS. HELP WITH INVESTMENT MANAGER SELECTION AND ALLOCATION OF ORGANIZATION; 3HOURS/MONTH AFTER BUSINESS; 0 DURING BUSINESS; 07/2010** 2. SOLE PROPRIETOR / OWNER / PARTNER; RENTAL PROPERTIES; 5 HILLSIDE AVENUE, PROVIDENCE, RI 02860; 9 HILLSIDE AVENUE PROVIDENCE,RI 02860; 145 SAYLES AVENUE , 212 GLENWOOD AVENUE PAWTUCKET, RI 02860; DURING BUSINESS HOURS 0 AFTER BUSINESS HOURS 0. 3. *321078 - Rhode Island CommunityFoundation; Investment related-No; Providence, Rhode Island; Civic/Religious/Community; Advisory Board, Investment Committee (proprietor, partner, officer, director, employee, trustee, agent); 06/2017; During business hours: 0; After business hours: 3; Investment Decisions/Advice

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-04-28
S63	Uniform Securities Agent State Law Examination	1981-07-16

S65 Uniform Investment Adviser Law Examination

1992-04-28
S63 Uniform Securities Agent State Law Examination

1981-07-16

View on SEC IAPD