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Morgan Stanley CRD 149777
$1.96T regulatory AUM 416,984 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2020-08-03 |
| TX | RA | APPROVED_RES | 2020-07-15 |
Branch Locations
6340 Quadrangle Drive Suite 300, Chapel Hill, NC 27517 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Durham | NC | 07/1986 | 07/2020 |
| Bank Of America, N.A. | Durham | NC | 07/2011 | 07/2020 |
| Morgan Stanley Smith Barney Llc | Chapel Hill | NC | 07/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 09/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-09-30 |
| S65 | Uniform Investment Adviser Law Examination | 1997-06-23 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-29 |
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