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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
TX RA APPROVED_RES 2014-02-11
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2014-02-11
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

2829 Townsgate Road Suite 200, Westlake Village, CA 91361 • United States

21650 Oxnard Street Suite 1800, Woodland Hills, CA 91367 • United States

21250 Hawthorne Boulevard Suite 650, Torrance, CA 90503 • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Westlake Village CA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Westlake Village, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2005-08-26 → 2009-06-01
    Woodland Hills, CA
    Woodland Hills, CA
  • 2000-09-25 → 2005-08-30
    Morgan Stanley Dw Inc.
    Woodland Hls, CA
Other Businesses

3. RENTAL PROPERTY; INVESTMENT RELATED; MOORPARK/CA; TITLE: LANDLORD/OWNER; START DATE: 01/2017; DURING BUSINESS HOURS - 0; AFTER BUSINESS HOURS - 1. * 310421 - Rental Property; Investment related Yes; California; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 04/2021; During business hours: 0; After business hours: 1; Property Management

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-07-26
S63 Uniform Securities Agent State Law Examination 2000-02-22
  • S66 Uniform Combined State Law Examination
    2000-07-26
  • S63 Uniform Securities Agent State Law Examination
    2000-02-22
Other Names
  • Michael Matthew Darley
  • Mike Matthew Darley

View on SEC IAPD

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