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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-11-02
MN RA APPROVED 2013-11-19
IA RA APPROVED 2009-06-01
TX RA APPROVED_RES 2009-06-01
  • FL RA
    APPROVED
    Since 2021-11-02
  • MN RA
    APPROVED
    Since 2013-11-19
  • IA RA
    APPROVED
    Since 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2009-06-01

Branch Locations

225 South 6Th Street, Minneapolis, MN 55402 • United States

Hollywood, FL • 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 Minneapolis MN 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Minneapolis, MN
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Minneapolis, MN
  • 2007-03-20 → 2007-04-02
    Morgan Stanley Dw Inc.
    Minneapolis, MN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-07-27
S63 Uniform Securities Agent State Law Examination 1987-08-17
  • S65 Uniform Investment Adviser Law Examination
    2007-07-27
  • S63 Uniform Securities Agent State Law Examination
    1987-08-17
Other Names
  • Eric Kimball Fors

View on SEC IAPD

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