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James Marks Spiro

Morgan Stanley

New Orleans, LA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-03-21
LA RA APPROVED 2010-11-18
  • TX RA
    APPROVED_RES
    Since 2016-03-21
  • LA RA
    APPROVED
    Since 2010-11-18

Branch Locations

1100 Poydras Street Suite 1900, New Orleans, LA 70163 • 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 Llc New Orleans LA 06/2009 Present
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    New Orleans, LA
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Other Businesses

1. FANTASY MOTORS LLC.; NOT INVESTMENT RELATED.; METAIRE, LA.; MAY OF 2002.; 25 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS 2. *91454 - jewish endowment foundation; Investment related No; Metairie, Louisiana; Charitable, Non-Profit; Investment Committee (proprietor, partner, officer, director, employee, trustee, agent); 06/2011 ; During business hours: 0; After business hours: 1; Investment Decisions/Advice.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-04-28
S63 Uniform Securities Agent State Law Examination 1984-07-26
  • S66 Uniform Combined State Law Examination
    2016-04-28
  • S63 Uniform Securities Agent State Law Examination
    1984-07-26
Other Names
  • James Mark Spiro
  • James M Spiro

View on SEC IAPD

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Other Offices

MONTZ HARCUS WEALTH MANAGEMENT · NEW ORLEANS, LA
BEACON POINTE ADVISORS, LLC · NEW ORLEANS, LA
EDWARD JONES · NEW ORLEANS, LA
LPL FINANCIAL LLC · NEW ORLEANS, LA
STATE FARM INVESTMENT MANAGEMENT CORP. · New Orleans, LA
STATE FARM INVESTMENT MANAGEMENT CORP. · NEW ORLEANS, LA
LPL FINANCIAL LLC · NEW ORLEANS, LA
CETERA INVESTMENT ADVISERS LLC · NEW ORLEANS, LA

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