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Morgan Stanley CRD 149777
$1.96T regulatory AUM 416,984 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-16 |
| TX | RA | APPROVED_RES | 2020-04-02 |
| FL | RA | APPROVED | 2018-08-30 |
Branch Locations
Bonita Springs, FL • United States
One Penn Plaza 43Rd Floor, New York, NY 10119 • United States
Cutchogue, NY • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | New York | NY | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
3. North Fork Country Club; Not Investment related; Cutchogue, NY; Charity / Private Foundation; Board of Governors, Assistant Treasurer (proprietor, partner, officer, director, employee, trustee, agent); Oct 2018; During business hours: 0; After business hours: 5; study the numbers and to help the Club run as efficiently and effectively as possible. Assist the Treasurer and the CFO during the annual budget process. Provide inputs on budgets, capital expenditures, member dues. Investment advice would be limited to possible recommendations on the maturity dates of certificates of deposit purchased. 4. *430330 - Estate; Investment related -Yes; Wantagh, New York; Executor; 04/2021; During business hours: 1; After business hours: 9;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-08-07 |
| S63 | Uniform Securities Agent State Law Examination | 1983-06-09 |
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