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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 |
|---|---|---|---|
| DC | RA | APPROVED | 2022-05-16 |
| TX | RA | APPROVED | 2022-05-14 |
| NC | RA | APPROVED | 2022-02-14 |
Branch Locations
6805 Carnegie Boulevard Suite 400, Charlotte, NC 28211 • United States
1747 Pennsylvania Ave Nw Suite 900, Washington, DC 20006 • United States
4064 Colony Road Suite 460, Charlotte, NC 28211 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo | Charlotte | NC | 10/2004 | 02/2022 |
| Morgan Stanley Smith Barney Llc | Charlotte | NC | 02/2022 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 04/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-04-27 |
| S65 | Uniform Investment Adviser Law Examination | 1995-10-03 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-18 |
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