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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2019-03-08 |
Branch Locations
One Fawcett Place 3Rd Floor, Greenwich, CT 06830 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Westport | CT | 08/2014 | 03/2019 |
| Bank Of America, N.A. | Darien | CT | 08/2014 | 03/2019 |
| Morgan Stanley | Greenwich | CT | 03/2019 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 04/2019 | Present |
*523785- Pequot Library; Investment related-No; Southport, Connecticut; Art/Culture, Children/Youth, Civic/Community, Education; Board Member, Vice Chair of Board (proprietor, partner, officer, director, employee, trustee, agent); 10/2022; During business hours: 0; After business hours: 2
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-03-31 |
| S65 | Uniform Investment Adviser Law Examination | 2003-05-06 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-19 |
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