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Douglas Wayne Ulrich

Morgan Stanley

Rockville, MD

Leesburg, VA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2014-02-11
MD RA APPROVED 2009-06-01
VA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2014-02-11
  • MD RA
    APPROVED
    Since 2009-06-01
  • VA RA
    APPROVED
    Since 2009-06-01

Branch Locations

702 King Farm Boulevard Suite 500, Rockville, MD 20850 • United States

Leesburg, VA • 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 Rockville MD 06/2009 Present
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    Rockville, MD
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
  • 2006-02-21 → 2009-06-01
    Citigroup Global Markets Inc.
    Gaithersburg, MD
    New York, NY
    Gaithersburg, MD
  • 2000-11-16 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Gaithersburg, MD
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-04-08
  • S66 Uniform Combined State Law Examination
    1999-04-08

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NAVY FEDERAL INVESTMENT SERVICES, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
J.P. MORGAN SECURITIES LLC
UNITED BROKERAGE SERVICES, INC
PROFIT INVESTMENTS
ORTMAN FINANCIAL PLANNING

Other Investors

JOHN BRIAN OETTINGER
JORDAN SCOTT KRAUS
Anna Laureys Squier
JASON SCOTT COHEN
JENNIFER CHRISTINE PASCAL
DANIEL RONIS
Annalise Taylor Haywood
Liam Christopher Sweet

Other Offices

LPL FINANCIAL LLC · ROCKVILLE, MD
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROCKVILLE, MD
NAVY FEDERAL INVESTMENT SERVICES, LLC · Rockville, MD
STATE FARM INVESTMENT MANAGEMENT CORP. · N Bethesda, MD
J.P. MORGAN SECURITIES LLC · Rockville, MD
UNITED BROKERAGE SERVICES, INC · ROCKVILLE, MD
PROFIT INVESTMENTS · NORTH BETHESDA, MD
ORTMAN FINANCIAL PLANNING · NORTH BETHESDA, MD

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