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Sofia M Diaz

Morgan Stanley

Chicago, IL

CRD 7724343

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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 2023-12-05
IL RA APPROVED 2023-11-21
  • TX RA
    APPROVED
    Since 2023-12-05
  • IL RA
    APPROVED
    Since 2023-11-21

Branch Locations

233 South Wacker Drive Suite 8600, Chicago, IL 60606 • 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 Chicago IL 05/2023 Present
Vintage Lounge Chicago IL 06/2020 05/2023
Gap Inc Chicago IL 06/2020 05/2021
Center For Literacy At Uic Chicago IL 03/2022 07/2022
Cristo Rey Altamira High School Caracas 01/2013 06/2020
  • 05/2023 → Present
    Morgan Stanley
    Chicago, IL
  • 06/2020 → 05/2023
    Vintage Lounge
    Chicago, IL
  • 06/2020 → 05/2021
    Gap Inc
    Chicago, IL
  • 03/2022 → 07/2022
    Center For Literacy At Uic
    Chicago, IL
  • 01/2013 → 06/2020
    Cristo Rey Altamira High School
    Caracas
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-11-21
  • S66 Uniform Combined State Law Examination
    2023-11-21
Other Names
  • Sofia M Diazmorales
  • Sofia M Diaz Morales

View on SEC IAPD

Nearby Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Nearby Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

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