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Claudia Thompson

Morgan Stanley

Orinda, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-08-18
TX RA APPROVED 2025-08-18
  • CA RA
    APPROVED
    Since 2025-08-18
  • TX RA
    APPROVED
    Since 2025-08-18

Branch Locations

2 Theatre Square Suite 322, Orinda, CA 94563 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Walnut Creek CA 02/2004 08/2025
Morgan Stanley Smith Barney Llc Orinda CA 08/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-07-24
S65 Uniform Investment Adviser Law Examination 1995-05-31
S63 Uniform Securities Agent State Law Examination 1995-02-02
  • S66 Uniform Combined State Law Examination
    2009-07-24
  • S65 Uniform Investment Adviser Law Examination
    1995-05-31
  • S63 Uniform Securities Agent State Law Examination
    1995-02-02
Other Names
  • Claudia Ann Lundholm
  • Claudia Ann Azevedo
  • Claudia Ann Azevedo
  • Claudia Ann Azevedo
  • Claudia Ann Lundholm
  • Claudia Ann Thompson
  • Claudia A Thompson

View on SEC IAPD

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