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Spencer James Pena

Morgan Stanley

Eureka, 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 2020-03-03
CA RA APPROVED 2017-12-20
  • TX RA
    APPROVED_RES
    Since 2020-03-03
  • CA RA
    APPROVED
    Since 2017-12-20

Branch Locations

2421 Buhne Street, Eureka, CA 95501 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Eureka CA 01/2018 Present
Unemployed Concord CA 06/2015 12/2017
Morgan Stanley Private Bank, National Association New York NY 01/2018 Present
  • 01/2018 → Present
    Eureka, CA
  • 06/2015 → 12/2017
    Unemployed
    Concord, CA
  • 01/2018 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-12-20
  • S66 Uniform Combined State Law Examination
    2017-12-20

View on SEC IAPD

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