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Serena Behar Tobias

Morgan Stanley

Oxnard, CA

CRD 1679501

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Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Morgan Stanley

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

Current Registrations

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

Branch Locations

300 Esplanade Drive 10Th Floor, Oxnard, CA 93036 • 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 Oxnard CA 08/2008 Present
Previous Registrations
  • 2008-08-29 → 2009-06-01
    Morgan Stanley & Co. Llc
    Woodland Hills, CA
  • 2003-07-01 → 2008-09-02
    Wells Fargo Clearing Services, Llc
    Woodland Hills, CA
    Woodland Hills, CA
  • 2000-01-20 → 2003-07-01
    Prudential Equity Group, Llc
    Westlake Village, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-12-06
S63 Uniform Securities Agent State Law Examination 1991-04-06
  • S65 Uniform Investment Adviser Law Examination
    2000-12-06
  • S63 Uniform Securities Agent State Law Examination
    1991-04-06
Other Names
  • Serena Susan Behar
  • Serena Susan Behar

View on SEC IAPD

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