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Patricia Ann Upton

Morgan Stanley

Sacramento, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-24
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-02-24
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

400 Capitol Mall Suite 1900, Sacramento, CA 95814 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley & Co., Incorporated Sacramento CA 04/2007 Present
Morgan Stanley Smith Barney Sacramento CA 06/2009 Present
  • 04/2007 → Present
    Morgan Stanley & Co., Incorporated
    Sacramento, CA
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Sacramento, CA
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Sacramento, CA
    Sacramento, CA
  • 2006-02-27 → 2007-04-02
    Morgan Stanley Dw Inc.
    Sacramento, CA
    Sacramento, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-02-04
S63 Uniform Securities Agent State Law Examination 1994-11-04
  • S65 Uniform Investment Adviser Law Examination
    2006-02-04
  • S63 Uniform Securities Agent State Law Examination
    1994-11-04
Other Names
  • Patricia Ann South

View on SEC IAPD

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Other Offices

GUANILL WEALTH MANAGEMENT · SACRAMENTO, CA
ENDEAVOR FINANCIAL PLANNING · SACRAMENTO, CA
LPL FINANCIAL LLC · SACRAMENTO, CA
LPL FINANCIAL LLC · SACRAMENTO, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SACRAMENTO, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SACRAMENTO, CA
LPL FINANCIAL LLC · SACRAMENTO, CA
ROBERT W. BAIRD & CO. INCORPORATED · SACRAMENTO, CA

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