Richard L Sholty

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2012-05-01
CA	RA	APPROVED	2012-04-27

TX RA
APPROVED_RES

Since 2012-05-01
CA RA
APPROVED

Since 2012-04-27

Branch Locations

100 Wilshire Boulevard Suite 1900, Santa Monica, CA 90401 • 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney	Santa Monica	CA	04/2012	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

04/2012 → Present

Morgan Stanley Smith Barney

Santa Monica, CA
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2009-10-23 → 2012-05-03

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Santa Monica, CA

Santa Monica, CA

Beverly Hills, CA

Los Angeles, CA
1998-05-12 → 2009-10-23

Banc Of America Investment Services, Inc.

Beverly Hills, CA

Los Angeles, CA

Los Angeles, CA

Other Businesses

*676650- Rental Property; Investment related: Yes; Venice, California; Rental Property; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 02/2024; During business hours: 0; After business hours: 0; Property Management

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-09-25
S63	Uniform Securities Agent State Law Examination	1994-10-24

S65 Uniform Investment Adviser Law Examination

1997-09-25
S63 Uniform Securities Agent State Law Examination

1994-10-24

View on SEC IAPD