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Morgan Stanley CRD 149777
$1.96T regulatory AUM 416,984 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-02-02 |
| SC | RA | APPROVED | 2023-12-01 |
| RI | RA | APPROVED | 2022-04-04 |
Branch Locations
One Financial Plaza 19Th Floor, Providence, RI 02903 • United States
Bluffton, SC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America | Providence | RI | 12/1999 | 02/2022 |
| Morgan Stanley Smith Barney Llc | Providence | RI | 02/2022 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 02/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-04-04 |
| S65 | Uniform Investment Adviser Law Examination | 2003-10-14 |
| S63 | Uniform Securities Agent State Law Examination | 1998-12-22 |
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