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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2026-03-25 |
| TX | RA | APPROVED | 2026-03-25 |
Branch Locations
233 South Wacker Drive Suite 9200 Pwm, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Chicago | IL | 11/2015 | 03/2026 |
| Morgan Stanley Smith Barney Llc | Dallas | TX | 03/2026 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 04/2026 | Present |
FINRA arbitrator / Investment Related / Dallas, TX / Start 05-August-1996 / 1.5 hours devoted per month / 0 during trading / no current cases pending. *689544 - FINRA; Investment Related - No; Washington, District of Columbia; Investment/Finance/Banking; industry arbitrator (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 04/1995; During Business Hours: 0; After Business Hours: 1; serve as an arbitator from time to time
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-09-10 |
| S63 | Uniform Securities Agent State Law Examination | 1987-03-10 |
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