Ernest Joseph Guzman

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Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-01-14
CA	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2019-01-14
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

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Pleasanton	CA	06/2009	Present
Morgan Stanley Private Bank, N.A.	New York	NY	01/2015	Present
Morgan Stanley Smith Barney Llc	Walnut Creek	CA	08/2016	05/2023

06/2009 → Present

Morgan Stanley Smith Barney Llc

Pleasanton, CA
01/2015 → Present

Morgan Stanley Private Bank, N.A.

New York, NY
08/2016 → 05/2023

Morgan Stanley Smith Barney Llc

Walnut Creek, CA

Previous Registrations

2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Sacramento, CA
1998-11-02 → 2007-04-02

Morgan Stanley Dw Inc.

Hayward, CA

Sacramento, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-07-09
S63	Uniform Securities Agent State Law Examination	1989-05-10

S65 Uniform Investment Adviser Law Examination

2003-07-09
S63 Uniform Securities Agent State Law Examination

1989-05-10

Other Names

Ernest Joseph Jr Guzman
Ernest Joseph Guzman
Ernest Joseph Guzman Jr
Ernest Joseph Guzman
Ernest Joseph Guzman Jr.

View on SEC IAPD

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