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Julie Ann Prinzi

Morgan Stanley

Rochester, NY

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2023-10-12
NY RA APPROVED 2021-06-16
TX RA APPROVED_RES 2020-05-18
  • VA RA
    APPROVED
    Since 2023-10-12
  • NY RA
    APPROVED
    Since 2021-06-16
  • TX RA
    APPROVED_RES
    Since 2020-05-18

Branch Locations

300 Linden Oaks Suite 200, Rochester, NY 14625 • 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
Citigroup Global Markets Inc. Rochester NY 07/1993 Present
Morgan Stanley Smith Barney Rochester NY 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 07/1993 → Present
    Citigroup Global Markets Inc.
    Rochester, NY
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Rochester, NY
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Other Businesses

1. POA; Investment related No; Rochester, NY; POA; Mar 2018; During business hours: 1; After business hours: 1

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-10-10
S63 Uniform Securities Agent State Law Examination 1989-01-11
  • S65 Uniform Investment Adviser Law Examination
    2023-10-10
  • S63 Uniform Securities Agent State Law Examination
    1989-01-11
Other Names
  • Julie Anne Ruane

View on SEC IAPD

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UBS FINANCIAL SERVICES INC.
MARINER
OAK CREST ADVISORY, LLC

Other Investors

THERESA CLARE KENYON
JAMES HAROLD HARMAN
GEORGIANN VALLEE COLLINS
NICHOLAS J TAGLIARINO
AMY P STRUTT
HEATHER LYNN LUCAS
CHAD ROBERT JACOB
JASON ANTHONY MILNER

Other Offices

COMMONWEALTH FINANCIAL NETWORK · ROCHESTER, NY
NOVEM GROUP · ROCHESTER, NY
OSAIC WEALTH, INC. · ROCHESTER, NY
EDELMAN FINANCIAL ENGINES · ROCHESTER, NY
RISE ADVISORS, LLC · ROCHESTER, NY
UBS FINANCIAL SERVICES INC. · ROCHESTER, NY
MARINER · Rochester, NY
UBS FINANCIAL SERVICES INC. · Rochester, NY

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