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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 | 2021-11-02 |
| NY | RA | APPROVED | 2021-06-16 |
| CT | RA | APPROVED | 2021-02-15 |
Branch Locations
399 Park Avenue 12Th Floor, New York, NY 10022 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | New York | NY | 06/2009 | Present |
| Finra | New York | NY | 10/1992 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1.NYSE; NOT-INVESTMENT RELATED; NEW YORK/NY; ARBITRATION; TITLE: EMPLOYEE; START DATE: 03/2005; DURING BUSINESS HOURS - 6; AFTER BUSINESS HOURS - 0. 2.NASD/FINRA; NOT-INVESTMENT RELATED; NEW YORK/NY; REGULATORY; TITLE: EMPLOYEE; START DATE: 03/2005; DURING BUSINESS HOURS - 3; AFTER BUSINESS HOURS - 0. *62604 - Universidade Catolica de Lisboa; Investment related: No; Portugal ; Education; Board Member:Advisory Board(proprietor, partner, officer, director, employee, trustee, agent); 12/2024; During business hours: 0; After business hours: 0.1; Attend Board meetings twice a year via zoom or in person
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-08-18 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-11 |
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