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Louis Francis Mosca

Morgan Stanley

Philadelphia, PA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2022-05-12
TX RA APPROVED_RES 2020-04-02
PA RA APPROVED 2013-07-30
  • NJ RA
    APPROVED
    Since 2022-05-12
  • TX RA
    APPROVED_RES
    Since 2020-04-02
  • PA RA
    APPROVED
    Since 2013-07-30

Branch Locations

1650 Market Street 42Nd Floor, Philadelphia, PA 19103 • 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 Philadelphia PA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Philadelphia, PA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-04-24
  • S63 Uniform Securities Agent State Law Examination
    1984-04-24
Other Names
  • Louis Francis Mosca

View on SEC IAPD

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