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Stephanie Polen

Morgan Stanley

Cincinnati, OH

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-08-22
OH RA APPROVED 2009-10-01
  • TX RA
    APPROVED_RES
    Since 2016-08-22
  • OH RA
    APPROVED
    Since 2009-10-01

Branch Locations

221 East 4Th Street Atrium Building, Cincinnati, OH 45202 • 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
Clippard Ymca Cincinnati OH 06/2003 Present
Morgan Stanley & Co., Incorporated Cincinnati OH 04/2007 Present
Morgan Stanley Smith Barney Cincinnati OH 06/2009 Present
  • 06/2003 → Present
    Clippard Ymca
    Cincinnati, OH
  • 04/2007 → Present
    Morgan Stanley & Co., Incorporated
    Cincinnati, OH
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Cincinnati, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-09-30
S63 Uniform Securities Agent State Law Examination 1993-03-22
  • S66 Uniform Combined State Law Examination
    2009-09-30
  • S63 Uniform Securities Agent State Law Examination
    1993-03-22
Other Names
  • Stephanie H Polen
  • Stephanie Nicholas Raptes
  • Stephanie N Raptes
  • Stephanie N Polen

View on SEC IAPD

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ANDERS KRISTIAN JUEL
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JEFFREY ROBERT WALKUP
MICHAEL WILLIAM POPIL
BETH OKABAYASHI HODGES

Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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