Stephen Alan Sherman

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-02-11
FL	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2014-02-11
FL RA
APPROVED

Since 2009-06-01

Branch Locations

20807 Biscayne Boulevard 5Th&6Th Floor, Aventura, FL 33180 • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney	Aventura	FL	06/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

06/2009 → Present

Morgan Stanley Smith Barney

Aventura, FL
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Aventura, FL
1991-01-01 → 2007-04-02

Morgan Stanley Dw Inc.

Aventura, FL

Aventura, FL

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1986-01-22

S63 Uniform Securities Agent State Law Examination

1986-01-22

View on SEC IAPD

Current Employers

Morgan Stanley

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

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