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Anna Maria Brock

Morgan Stanley

Louisville, KY

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-01-20
KY RA APPROVED 2010-12-06
  • TX RA
    APPROVED_RES
    Since 2011-01-20
  • KY RA
    APPROVED
    Since 2010-12-06

Branch Locations

4969 Us Highway 42 Suite 1200, Louisville, KY 40222 • 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 Louisville KY 10/2010 Present
  • 10/2010 → Present
    Morgan Stanley Smith Barney
    Louisville, KY
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-01-02
  • S63 Uniform Securities Agent State Law Examination
    1997-01-02
Other Names
  • Anna Maria Brock
  • Anna Maria Richardsrichards
  • Anna Maria Richards
  • Anna Maria Landrum

View on SEC IAPD

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WAYCROSS PARTNERS, LLC · LOUISVILLE, KY
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KESTRA ADVISORY SERVICES, LLC · Louisville, KY
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