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Stephen Phillip Whitman

Morgan Stanley

Carlsbad, CA

San Marcos, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2009-06-01
TX RA APPROVED_RES 2009-06-01
  • CA RA
    APPROVED
    Since 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2009-06-01

Branch Locations

5796 Armada Drive Suite 200, Carlsbad, CA 92008 • United States

San Marcos, CA • 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 Carlsbad CA 06/2009 Present
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    Carlsbad, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Carlsbad, CA
  • 2006-03-27 → 2007-04-02
    Morgan Stanley Dw Inc.
    Carlsbad, CA
  • 2003-07-01 → 2006-03-28
    Wells Fargo Clearing Services, Llc
    Carlsbad, CA
  • 2000-11-01 → 2003-07-01
    Prudential Equity Group, Llc
    San Diego, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-09-11
S63 Uniform Securities Agent State Law Examination 1986-02-05
  • S65 Uniform Investment Adviser Law Examination
    1997-09-11
  • S63 Uniform Securities Agent State Law Examination
    1986-02-05
Other Names
  • Steve Whitman
  • Stephen Philip Whitman

View on SEC IAPD

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Other Offices

INTELLIGENCE DRIVEN ADVISERS, LLC · CARLSBAD, CA
COTTINGHAM MANAGEMENT COMPANY, LLC · CARLSBAD, CA
CORONADO INVESTMENT ADVISORS, LLC · CARLSBAD, CA
FINANCIAL PLANNING SOLUTIONS, INC. · CARLSBAD, CA
PFS INVESTMENTS INC. · CARLSBAD, CA
COMMONWEALTH FINANCIAL NETWORK · CARLSBAD, CA
FRANK FINANCIAL ADVISORS · CARLSBAD, CA
LPL FINANCIAL LLC · CARLSBAD, CA

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