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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-11-16
KY RA APPROVED 2019-12-17
TX RA APPROVED_RES 2011-03-30
AL RA APPROVED 2009-06-01
  • FL RA
    APPROVED
    Since 2023-11-16
  • KY RA
    APPROVED
    Since 2019-12-17
  • TX RA
    APPROVED_RES
    Since 2011-03-30
  • AL RA
    APPROVED
    Since 2009-06-01

Branch Locations

Louisville, KY • United States

740 Shades Creek Parkway, Birmingham, AL 35209 • 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
Morgan Stanley Smith Barney Birmingham AL 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Birmingham, AL
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
Other Businesses

RENTAL PROPERTY; INVESTMENT RELATED; VANDIVER/AL; REAL ESTATE; TITLE: OWNER; START DATE: 04/2005; DURING BUSINESS HOURS - 0; AFTER BUSINESS HOURS - 0. *591059 - FNJ Properties, Inc; Investment related: Yes; Louisville, Kentucky; Husbands original business, Recreonics, Inc., sold 11/03/2023, FNJ Properties, Inc is the name change and shell company which is beiing dissolved; Advisory Board, Officer (proprietor, partner, officer, director, employee, trustee, agent); 08/2023; During business hours: 1; After business hours: 2; Administrative

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-05-16
  • S63 Uniform Securities Agent State Law Examination
    1984-05-16

View on SEC IAPD

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