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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2025-09-04
CA RA APPROVED 2009-06-01
TX RA APPROVED_RES 2009-06-01
  • NV RA
    APPROVED
    Since 2025-09-04
  • CA RA
    APPROVED
    Since 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2009-06-01

Branch Locations

16000 Los Gatos Boulevard, Los Gatos, CA 95032 • United States

Incline Village, NV • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Los Gatos CA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Los Gatos, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Los Gatos, CA
  • 1997-05-16 → 2007-04-02
    Morgan Stanley Dw Inc.
    Los Gatos, CA
    Los Gatos, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-02-27
S63 Uniform Securities Agent State Law Examination 1985-08-21
  • S65 Uniform Investment Adviser Law Examination
    1997-02-27
  • S63 Uniform Securities Agent State Law Examination
    1985-08-21

View on SEC IAPD

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