Matthew Jacob Westphal

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

Authority	Category	Status	Date
TX	RA	APPROVED	2022-10-28
WA	RA	APPROVED	2022-10-28

TX RA
APPROVED

Since 2022-10-28
WA RA
APPROVED

Since 2022-10-28

Branch Locations

500 108Th Avenue, North East Suite 1900, Bellevue, WA 98004 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Seattle	WA	07/1998	10/2022
Bank Of America, N.A.	Seattle	WA	09/2009	10/2022
Morgan Stanley Smith Barney Llc	Bellevue	WA	10/2022	Present
Morgan Stanley Private Bank, N.A.	New York	NY	11/2022	Present

07/1998 → 10/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Seattle, WA
09/2009 → 10/2022

Bank Of America, N.A.

Seattle, WA
10/2022 → Present

Morgan Stanley Smith Barney Llc

Bellevue, WA
11/2022 → Present

Morgan Stanley Private Bank, N.A.

New York, NY

Previous Registrations

1999-10-20 → 2022-10-31

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Seattle, WA

Seattle, WA

Other Businesses

*659494 - O'Dea High School; Investment related: No; Seattle, Washington; Children/Youth:Education:Religious; Finance Committee:Board Member (proprietor, partner, officer, director, employee, trustee, agent); 09/2025; During business hours: 0; After business hours: 2; Investment Decisions/Advice:Other - Budget approval/Tuition approval/Review results of audit

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-04-22

S66 Uniform Combined State Law Examination

1999-04-22

Designations

Certified Financial Planner

Other Names

Matt Westphal
Matthew J Westphal
Matt Westphal

View on SEC IAPD