Best Investors Account Sign in
Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2021-12-22
TX RA APPROVED_RES 2016-09-28
IL RA APPROVED 2009-06-01
  • NC RA
    APPROVED
    Since 2021-12-22
  • TX RA
    APPROVED_RES
    Since 2016-09-28
  • IL RA
    APPROVED
    Since 2009-06-01

Branch Locations

Pinehurst, NC • United States

233 S Wacker Dr. Suite 8600, Chicago, IL 60606 • 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
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Chicago IL 06/2009 04/2023
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
Morgan Stanley Smith Barney Llc Pinehurst NC 12/2021 Present
Morgan Stanley Smith Barney Llc Whispering Pines NC 05/2024 Present
  • 06/2009 → 04/2023
    Morgan Stanley Smith Barney Llc
    Chicago, IL
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 12/2021 → Present
    Morgan Stanley Smith Barney Llc
    Pinehurst, NC
  • 05/2024 → Present
    Morgan Stanley Smith Barney Llc
    Whispering Pines, NC
Previous Registrations
Other Businesses

*680481 - FOREST CREEK PROPERTY OWNERS ASSOCIATION; Investment related: No; PINEHURST, North Carolina; Civic/Religious/Community; Board Member(proprietor, partner, officer, director, employee, trustee, agent); 2/2026; During business hours: 0; After business hours: 5; Property Management

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-02
S63 Uniform Securities Agent State Law Examination 1983-08-30
  • S65 Uniform Investment Adviser Law Examination
    1996-12-02
  • S63 Uniform Securities Agent State Law Examination
    1983-08-30

View on SEC IAPD

More in Pinehurst, NC

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor