James Franklin Young

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2019-01-17
TX	RA	APPROVED	2010-09-10
IL	RA	APPROVED	2009-06-01

AZ RA
APPROVED

Since 2019-01-17
TX RA
APPROVED

Since 2010-09-10
IL RA
APPROVED

Since 2009-06-01

Branch Locations

Gold Canyon, AZ • United States

233 South Wacker Drive Suite 8600, Chicago, IL 60606 • United States

14850 North Scottsdale Road Suite 600, Scottsdale, AZ 85254 • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Chicago	IL	06/2009	Present
Morgan Stanley Private Bank, N.A.	New York	NY	01/2015	Present
Morgan Stanley Smith Barney Llc	Peoria	AZ	12/2018	Present

06/2009 → Present

Morgan Stanley Smith Barney Llc

Chicago, IL
01/2015 → Present

Morgan Stanley Private Bank, N.A.

New York, NY
12/2018 → Present

Morgan Stanley Smith Barney Llc

Peoria, AZ

Previous Registrations

2008-10-27 → 2009-06-01

Morgan Stanley & Co. Llc

Chicago, IL

Other Businesses

334232 - Y3 Investments LLC; Investment related; Crawford County, Arkansas; Rental Property; President; Dec/2017; During business hours: 0; After business hours: 0.01; LLC Formed to hold inheritance of farmland, Farm is rented out and have an accountant to perform all operational responsibilities

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-10-15
S63	Uniform Securities Agent State Law Examination	1983-11-04

S65 Uniform Investment Adviser Law Examination

2008-10-15
S63 Uniform Securities Agent State Law Examination

1983-11-04

View on SEC IAPD