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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2021-10-04 |
| TX | RA | APPROVED_RES | 2021-10-04 |
Branch Locations
4350 La Jolla Village Drive Suite 1000, San Diego, CA 92122 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | San Diego | CA | 02/1995 | 10/2021 |
| Morgan Stanley Smith Barney Llc | San Diego | CA | 10/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2021 | Present |
BAND / MUSIC / LA JOLLA , CA 92037 / MUSICIAN / PRIVATELY HELD / START DATE 03/20/2012 - 03/14/2015 / 5 HRS. *460630- Wild Nights; Investment related No;La Jollaty, California; Rock Band; Band Member (proprietor, partner, officer, director, employee, trustee, agent); 10/2021; During business hours: 0; After business hours: 2;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1986-07-02 |
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