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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

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-16
TX RA APPROVED 2020-05-04
UT RA APPROVED 2019-02-15
  • NY RA
    APPROVED
    Since 2021-06-16
  • TX RA
    APPROVED
    Since 2020-05-04
  • UT RA
    APPROVED
    Since 2019-02-15

Branch Locations

680 West 10000 South Jordan Valley Tech Ii, South Jordan, UT 84095 • United States

2000 Westchester Avenue, Purchase, NY 10577-2530 • USA

Ogden, UT • 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 Smith Barney Llc South Jordan UT 02/2013 Present
  • 02/2013 → Present
    Morgan Stanley Smith Barney Llc
    South Jordan, UT
Previous Registrations
  • 2007-07-18 → 2008-09-11
    Securian Financial Services, Inc.
    Ogden, UT
Other Businesses

1. Nordic Valley Ski Patrol; Investment related No; Volunteer Ski Patrol; Employee(proprietor, partner, officer, director, employee, trustee, agent); Nov 2011; During business hours: 0; After business hours: 8; $1000 Annual family ski pass

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-02-14
S65 Uniform Investment Adviser Law Examination 2007-07-10
S63 Uniform Securities Agent State Law Examination 2004-07-19
  • S66 Uniform Combined State Law Examination
    2019-02-14
  • S65 Uniform Investment Adviser Law Examination
    2007-07-10
  • S63 Uniform Securities Agent State Law Examination
    2004-07-19

View on SEC IAPD

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