Michael Joseph Lupia

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-06-16
TX	RA	APPROVED_RES	2020-04-02
NJ	RA	APPROVED	2010-07-01
CA	RA	APPROVED	2010-06-22
NC	RA	APPROVED	2010-06-21

NY RA
APPROVED

Since 2021-06-16
TX RA
APPROVED_RES

Since 2020-04-02
NJ RA
APPROVED

Since 2010-07-01
CA RA
APPROVED

Since 2010-06-22
NC RA
APPROVED

Since 2010-06-21

Branch Locations

58 South Service Road Suite 400, Melville, NY 11747 • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Melville	NY	06/2010	Present
Morgan Stanley Private Bank, N.A.	New York	NY	01/2015	Present

06/2010 → Present

Morgan Stanley Smith Barney Llc

Melville, NY
01/2015 → Present

Morgan Stanley Private Bank, N.A.

New York, NY

Previous Registrations

1999-04-23 → 2010-06-22

Chase Investment Services Corp.

Mineola, NY

Manhassett, NY

Manhasset, NY

Manhasset, NY

Other Businesses

1.70 Oakview LLC; Investment related Yes; Farmingdale, NY ; real estate rental investment property ; Owner/landlord (proprietor, partner, officer, director, employee, trustee, agent); Jan 2018; During business hours: 0; After business hours: 1

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-06-22
S63	Uniform Securities Agent State Law Examination	1985-07-17

S65 Uniform Investment Adviser Law Examination

1998-06-22
S63 Uniform Securities Agent State Law Examination

1985-07-17

Other Names

Mike Lupia
Michael J Lupia

View on SEC IAPD