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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2021-06-07 |
| TX | RA | APPROVED | 2021-06-04 |
Branch Locations
Plantation, FL • United States
350 East Las Olas Boulevard Suite 1500, Fort Lauderdale, FL 33301 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Plantation | FL | 08/2005 | 06/2021 |
| Bank Of America, N.A. | Fort Lauderdale | FL | 05/2011 | 06/2021 |
| Morgan Stanley Smith Barney Llc | Fort Lauderdale | FL | 06/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 06/2021 | Present |
*442347 - FINRA; Investment related No; Boca Raton, FL; SRO; FINRA NON PUBLIC ARBITRATOR (proprietor, partner, officer, director, employee, trustee, agent); Jan 2018; During business hours: 0; After business hours: 01; Investment Decisions/Advice, Other.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-09-08 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-22 |
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