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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2009-06-01
TX RA APPROVED_RES 2009-06-01
  • TN RA
    APPROVED
    Since 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2009-06-01

Branch Locations

2000 Meridian Boulevard Suite 290, Franklin, TN 37067 • United States

3102 West End Avenue Suite 200, Nashville, TN 37203 • 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
Morgan Stanley & Co., Incorporated Nashville TN 04/2007 Present
Morgan Stanley Smith Barney Nashville TN 06/2009 Present
  • 04/2007 → Present
    Morgan Stanley & Co., Incorporated
    Nashville, TN
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Nashville, TN
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Nashville, TN
  • 2005-10-31 → 2007-04-02
    Morgan Stanley Dw Inc.
    Nashville, TN
    Nashville, TN
  • 2004-01-08 → 2005-10-14
    Banc Of America Investment Services, Inc.
    Nashville, TN
  • 2002-11-18 → 2003-12-04
    Morgan Stanley Dw Inc.
    Nashville, TN
Other Businesses

1.PRIVATE PLACEMENT IN MRS. PRIDE/DREAM TEAM RACING LLC

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-08-26
S63 Uniform Securities Agent State Law Examination 1993-09-13
  • S65 Uniform Investment Adviser Law Examination
    1997-08-26
  • S63 Uniform Securities Agent State Law Examination
    1993-09-13
Other Names
  • Lisa Ann Johnston

View on SEC IAPD

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