Best Investors Account Sign in

James Robert Simpson

Morgan Stanley

Pleasanton, CA

Claim This Profile
Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-07-11
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2011-07-11
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

4309 Hacienda Drive Suite 200, Pleasanton, CA 94588 • 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. Pleasanton CA 07/1993 Present
Morgan Stanley Smith Barney Pleasanton CA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 07/1993 → Present
    Citigroup Global Markets Inc.
    Pleasanton, CA
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Pleasanton, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-04-21
S63 Uniform Securities Agent State Law Examination 1987-01-27
  • S65 Uniform Investment Adviser Law Examination
    1992-04-21
  • S63 Uniform Securities Agent State Law Examination
    1987-01-27

View on SEC IAPD

More in Pleasanton, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor