Arthur Warren Tuttle

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
FL	RA	APPROVED	2021-03-12
TX	RA	APPROVED_RES	2011-05-09
CT	RA	APPROVED	2011-04-28
NJ	RA	APPROVED	2011-04-25

FL RA
APPROVED

Since 2021-03-12
TX RA
APPROVED_RES

Since 2011-05-09
CT RA
APPROVED

Since 2011-04-28
NJ RA
APPROVED

Since 2011-04-25

Branch Locations

One Fawcett Place 3Rd Floor, Greenwich, CT 06830 • United States

Melbourne, FL • United States

Brookfield, CT • 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	Brookfield	CT	06/2009	Present
Morgan Stanley Private Bank, N.A.	New York	NY	01/2015	Present

06/2009 → Present

Morgan Stanley Smith Barney Llc

Brookfield, CT
01/2015 → Present

Morgan Stanley Private Bank, N.A.

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-04-21
S63	Uniform Securities Agent State Law Examination	1989-09-26

S65 Uniform Investment Adviser Law Examination

2011-04-21
S63 Uniform Securities Agent State Law Examination

1989-09-26

View on SEC IAPD

Employer firm

Current Employers

Morgan Stanley

Disclosures

Employment History

Exams

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