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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2022-06-20
FL RA APPROVED 2020-10-01
TX RA APPROVED 2020-09-30
  • WI RA
    APPROVED
    Since 2022-06-20
  • FL RA
    APPROVED
    Since 2020-10-01
  • TX RA
    APPROVED
    Since 2020-09-30

Branch Locations

595 South Federal Highway Suite 400, Boca Raton, FL 33432 • United States

Disclosures

1 disclosure category 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Boca Raton FL 11/2000 09/2020
Morgan Stanley Smith Barney Llc Boca Raton FL 09/2020 Present
Morgan Stanley Private Bank, N.A New York NY 10/2020 Present
  • 11/2000 → 09/2020
    Boca Raton, FL
  • 09/2020 → Present
    Morgan Stanley Smith Barney Llc
    Boca Raton, FL
  • 10/2020 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-10-08
  • S63 Uniform Securities Agent State Law Examination
    1986-10-08

View on SEC IAPD

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