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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-01-10
NC RA APPROVED 2009-06-01
VA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2011-01-10
  • NC RA
    APPROVED
    Since 2009-06-01
  • VA RA
    APPROVED
    Since 2009-06-01

Branch Locations

Southport, NC • United States

Winston-Salem, NC • United States

100 North Main Street Suite 2500, Winston-Salem, NC 27101 • 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
Morgan Stanley Smith Barney Winston-Salem NC 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Winston-Salem, NC
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
Other Businesses

DISTINCTIVE VOYAGES. NOT INVESTMENT RELATED. 151 MAST RD; FALMOUTH, ME 04105 (HOME BASED BUSINESS). HOME BASED TRAVEL AGENCY. OWNER. 1/1/04. APPROX. 40 HOURS PER MONTH. NO HOURS DURING TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-10-08
S63 Uniform Securities Agent State Law Examination 1986-12-03
  • S65 Uniform Investment Adviser Law Examination
    1991-10-08
  • S63 Uniform Securities Agent State Law Examination
    1986-12-03

View on SEC IAPD

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