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Morgan Stanley CRD 149777
$1.96T regulatory AUM 416,984 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2020-08-05 |
| FL | RA | APPROVED | 2020-07-13 |
| TX | RA | APPROVED | 2020-07-10 |
Branch Locations
6805 Carnegie Boulevard Suite 400, Charlotte, NC 28211 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Charlotte | NC | 11/2008 | 07/2020 |
| Morgan Stanley Smith Barney Llc | Charlotte | NC | 07/2020 | Present |
| Morgan Stanley Smith Barney Llc | Windemere | FL | 07/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 09/2020 | Present |
* 411701 - M&GW FL LLC; Investment related No; Windermere, Florida; Investment/Finance/Banking; Partner (proprietor, partner, officer, director, employee, trustee, agent); 10/2020; During business hours: 0; After business hours: 0; Administrative.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-21 |
| S63 | Uniform Securities Agent State Law Examination | 1985-10-04 |
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