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Marc H Lock

Morgan Stanley

Tucson, AZ

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-05-12
  • TX RA
    APPROVED_RES
    Since 2020-05-12

Branch Locations

7175 North Pima Canyon Drive, Tucson, AZ 85718 • 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
Citigroup Global Markets Inc. Tucson AZ 06/2001 Present
Morgan Stanley Smith Barney Tucson AZ 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2001 → Present
    Citigroup Global Markets Inc.
    Tucson, AZ
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Tucson, AZ
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-07-30
  • S63 Uniform Securities Agent State Law Examination
    1986-07-30
Other Names
  • Marc Henry Lock

View on SEC IAPD

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IRONWOOD FINANCIAL, LLC · TUCSON, AZ
IRONWOOD FINANCIAL, LLC · TUCSON, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · TUCSON, AZ
WELLS FARGO CLEARING SERVICES, LLC · TUCSON, AZ
ALLSTATE FINANCIAL ADVISORS, LLC · Tucson, AZ
AIO FINANCIAL, LLC · TUCSON, AZ
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