John A Mcauliffe

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	2020-03-03
CA	RA	APPROVED	2013-05-06
NJ	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2020-03-03
CA RA
APPROVED

Since 2013-05-06
NJ RA
APPROVED

Since 2009-06-01

Branch Locations

300 Esplanade Drive 10Th Floor, Oxnard, CA 93036 • 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	Santa Barbara	CA	12/2015	07/2017
Morgan Stanley Smith Barney Llc	Oxnard	CA	07/2017	Present

12/2015 → 07/2017

Morgan Stanley Smith Barney Llc

Santa Barbara, CA
07/2017 → Present

Morgan Stanley Smith Barney Llc

Oxnard, CA

Previous Registrations

2008-05-08 → 2009-06-01

Morgan Stanley & Co. Llc

Purchase, NY

Purchase, NY

Garden City, NY
2007-05-29 → 2008-04-29

Citigroup Global Markets Inc.

Stamford, CT

Garden City, NY
2007-04-05 → 2007-05-29

Citicorp Investment Services

Garden City, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-05-30
S63	Uniform Securities Agent State Law Examination	1979-08-11

S65 Uniform Investment Adviser Law Examination

1995-05-30
S63 Uniform Securities Agent State Law Examination

1979-08-11

Other Names

John Alfred Mcauliffe

View on SEC IAPD