Dorothy Stanton

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Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
RI	RA	APPROVED	2015-01-22

RI RA
APPROVED

Since 2015-01-22

Branch Locations

284-286 Bellevue Avenue, Newport, RI 02840 • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Newport	RI	06/2016	Present

06/2016 → Present

Morgan Stanley Smith Barney Llc

Newport, RI

Previous Registrations

2012-08-16 → 2014-04-08

Aprio Wealth Management, Llc

Atlanta, GA
2011-04-20 → 2011-10-10

Morgan Stanley

Alpharetta, GA
2010-09-10 → 2011-03-07

Oppenheimer & Co. Inc.

Atlanta, GA
2009-06-01 → 2010-05-19

Morgan Stanley

Atlanta, GA
2003-12-18 → 2009-06-01

Citigroup Global Markets Inc.

Atlanta, GA

Winston Salem, NC

Winston-Salem, NC
2000-02-17 → 2002-11-25

Citigroup Global Markets Inc.

Houston, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-04-09
S63	Uniform Securities Agent State Law Examination	2000-02-15

S66 Uniform Combined State Law Examination

2007-04-09
S63 Uniform Securities Agent State Law Examination

2000-02-15

Other Names

Dorothy Naomi Jones
Dorothy Naomi Stanton

View on SEC IAPD

Other Firms

YOUNG RICHARD C & CO LTD

J.P. MORGAN SECURITIES LLC

NEWEDGE ADVISORS

OSAIC WEALTH, INC.

UBS FINANCIAL SERVICES INC.

COMMONWEALTH FINANCIAL NETWORK

CETERA INVESTMENT ADVISERS LLC

FACTOR INVESTING GROUP

Other Investors

CHRISTOPHER JOHN STACK

Justin Charles Silvia

RICHARD CARLYLE YOUNG

Frederick Abrams Bellows

JASON LEONARD BERTSCH

IAN SCOTT GERRIOR

TERENCE JOSEPH GLACKIN

Other Offices

YOUNG RICHARD C & CO LTD · NEWPORT, RI

J.P. MORGAN SECURITIES LLC · Newport, RI

NEWEDGE ADVISORS · Newport, RI

OSAIC WEALTH, INC. · NEWPORT, RI

UBS FINANCIAL SERVICES INC. · Newport, RI

COMMONWEALTH FINANCIAL NETWORK · NEWPORT, RI

CETERA INVESTMENT ADVISERS LLC · NEWPORT, RI

FACTOR INVESTING GROUP · Newport, RI

More in Newport, RI

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