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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2009-06-01 |
Branch Locations
Willis Tower 233 South Wacker Drive, Suite 8200 Region 5, Chicago, IL 60606 • 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 Smith Barney Llc | Chicago | IL | 07/2016 | Present |
1. Personal Account; Investment related Yes; Chicago, IL and Glenview, IL; POA for mother's account; Jan 2018; During business hours: 0; After business hours: 1 *351080- Estate; Investment related-Yes; Wilmette, Illinois; 01/2018; During business hours: 1; After business hours: 4
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 1981-12-04 |
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