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Form MA/A MORGAN STANLEY & CO.

May 14, 2021 6:52 AM EDT


  
    MA/A
    
      
        0001359291
        XXXXXXXX
      
      
        Laurie Miles
        443-627-4934
      
      [email protected]
      
        [email protected]
        [email protected]
        [email protected]
        [email protected]
        [email protected]
      
    
  
  
    MORGAN STANLEY & CO. LLC
    8209
    13-2655998
    
      
        866-00466-00
      
      
        
          867-02468
        
        
          
            008-15869
            8209
          
          
            CFTC
            3045
          
        
      
    
    
      
        
          Alabama Securities Commission
          8209
        
      
      
        
          Alaska Divison of Banking and Securities
          8209
        
      
      
        
          Arizona Corporation Commission
          8209
        
      
      
        
          Arkansas Securities Department
          8209
        
      
      
        
          California Department of Business Oversight
          8209
        
      
      
        
          Colorado Divison of Securities
          8209
        
      
      
        
          Connecticut Department of Banking
          8209
        
      
      
        
          Delaware Department of Justice
          8209
        
      
      
        
          District of Columbia Department of Insurance, Securities and Banking
          8209
        
      
      
        
          Florida Office of Business Regulation
          8209
        
      
      
        
          Georgia Office of the Secretary of State, Division of Securities
          8209
        
      
      
        
          Hawaii Department of Commerce & Consumer Affairs, Division of Business Regulation
          8209
        
      
      
        
          Idaho Department of Finance
          8209
        
      
      
        
          Illinois Office of the Secretary of State, Securities Department
          8209
        
      
      
        
          Indiana Office of the Secretary of State, Securities Division
          8209
        
      
      
        
          Iowa Insurance Division, Securities Bureau
          8209
        
      
      
        
          Kansas Office of the Securities Commissioner
          8209
        
      
      
        
          Kentucky Department of Financial Institutions
          8209
        
      
      
        
          Louisiana Securities Commission
          8209
        
      
      
        
          Maine Department of Profressional & Financial Regulation
          8209
        
      
      
        
          Maryland Office of the Attorney General, Division of Securities
          8209
        
      
      
        
          Massachusetts Securities Division
          8209
        
      
      
        
          Michigan Department of Licensing and Regulatory Affairs Corporation, Securities and Commercial Licensing Bureau
          8209
        
      
      
        
          Minnesota Department of Commerce
          8209
        
      
      
        
          Mississippi Office of the Secretary of State, Securities Division
          8209
        
      
      
        
          Missouri Office of the Secretary of State, Securities Division
          8209
        
      
      
        
          Montana Commissioner of Securities & Insurance
          8209
        
      
      
        
          Nebraska Department of Banking & Finance
          8209
        
      
      
        
          Nevada Secretary of State, Securities Division
          8209
        
      
      
        
          New Hampshire Bureau of Securities Regulation
          8209
        
      
      
        
          New Jersey Department of Law & Public Safety, Bureau of Securities
          8209
        
      
      
        
          New Mexico Regulation & Licensing Department, Securities Division
          8209
        
      
      
        
          New York Office of the Attorney General, Investor Protection Bureau
          8209
        
      
      
        
          North Carolina Department of the Secretary of State, Securities Division
          8209
        
      
      
        
          North Dakota Securities Commission
          8209
        
      
      
        
          Ohio Division of Securities
          8209
        
      
      
        
          Oklahoma Securities Commissiioner
          8209
        
      
      
        
          Oregon Department of Consumer & Business Services, Division of Finance & Corp. Securities
          8209
        
      
      
        
          Pennsylvania Department of Banking and Securities
          8209
        
      
      
        
          Puerto Rico Commissioner of Financial Institutiions
          8209
        
      
      
        
          Rhode Island Department of Business Regulation
          8209
        
      
      
        
          South Carolina Office of the Attorney General, Securities Division
          8209
        
      
      
        
          South Dakota Division of Securities
          8209
        
      
      
        
          Tennessee Department of Commerce & Insurance, Securities Division
          8209
        
      
      
        
          Texas State Securities Board
          8209
        
      
      
        
          US Virgin Islands Divison of Banking and Insurance
          8209
        
      
      
        
          Utah Department of Commerce, Division of Securities
          8209
        
      
      
        
          Vermont Department of Financial Regulation
          8209
        
      
      
        
          Virginia State Corporation Commission, Division of Securities & Retail Franchising
          8209
        
      
      
        
          Washington Department of Financial Institutions, Securities Division
          8209
        
      
      
        
          West Virginia Office of the State Auditor, Securities Division
          8209
        
      
      
        
          Wisconsin Department of Financial Institutions, Division of Securities
          8209
        
      
      
        
          Wyoming Secretary of State, Compliance Division
          8209
        
      
      
        
          Federal Reserve Board
          1573239
        
      
    
    
      
        
          1585 BROADWAY
          NEW YORK
          NY
          10036
        
      
      212-761-4000
    
    
      
        
          Add
        
        
          
            
              200 Cresent Court, 9th Floor
              Dallas
              TX
              75201
            
          
          214-720-2942
        
      
      
        
          Add
        
        
          
            
              106 East Sixth Street, Suite 836
              Austin
              TX
              78701
            
          
          512-322-5760
        
      
    
    Y
    
      
        1633 Broadway, 29th Floor
        New York
        NY
        10019
      
    
    www.morganstanley.com
    
      
        Belinda
        Anne
        Blaine
      
      
        Managing Director
      
      
1633 Broadway, 29th Floor New York NY 10019
212-537-1433 646-403-9600 [email protected]
Laure Antonia Salvaggio
1633 Broadway, 29th Floor New York NY 10019
212-537-2208 201-633-4467 [email protected]
PRIME DEALER SERVICES CORP. Y FINRA 36142 DE MORGAN STANLEY DOMESTIC HOLDINGS, INC. N MORGAN STANLEY CAPITAL MANAGEMENT, LLC N MORGAN STANLEY Y Federal Reserve Board IGJSJL3JD5P30I6NJZ34 December DE 12-03-1969 N 3600 20 20 0 0 0 Not Applicable 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice Guaranteed IC Y Y Y Y Y Y N Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer Commodity pool operator Commodity trading advisor Futures commission merchant Banking/Thrift institution Trust Company Insurance company or agency Sponsor or syndicator of limited partnerships 95 Add Commodity pool operator Commodity trading advisor Ceres Managed Futures LLC Ceres Managed Futures LLC N Y N Add Investment Adviser Consulting Group Advisory Services LLC Consulting Group Advisory Services LLC N Y N Add Investment Adviser Mesa West Capital LLC Mesa West Capital LLC N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Swap Dealer Morgan Stanley & Co. International PLC Morgan Stanley & Co. International PLC N Y Y Financial Conduct Authority 1655935 X0 Add Commodity pool operator Morgan Stanley AIP (Cayman) GP Ltd. Morgan Stanley AIP (Cayman) GP Ltd. N Y N Add Investment Company Commodity pool operator Commodity trading advisor MORGAN STANLEY AIP GP LP MORGAN STANLEY AIP GP LP N Y N Add Commodity pool operator Morgan Stanley Alternative Investment Partners LP Morgan Stanley Alternative Investment Partners LP N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Morgan Stanley Asia (Singapore) Pte. Morgan Stanley Asia (Singapore) Pte. N Y Y Monetary Authority of Singapore U0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Morgan Stanley Asia (Singapore) Securities Pte Ltd Morgan Stanley Asia (Singapore) Securities Pte Ltd N Y Y Australian Securities and Investments Commission C3 Securities and Exchange Board of India K7 Monetary Authority of Singapore U0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Morgan Stanley Asia Limited Morgan Stanley Asia Limited N Y Y Australian Securities and Investments Commission C3 China Securities Depository and Clearing Corporation F4 China Securities Regulatory Commission F4 Securities and Futures Commission K3 Add Broker-dealer municipal securities dealer or government securities broker or dealer Morgan Stanley Australia Securities Limited Morgan Stanley Australia Securities Limited N Y Y Australian Securites and Exchange Limited C3 Add Banking/Thrift institution Morgan Stanley Bank AG Morgan Stanley Bank AG N Y Y German Federal Financial Supervisory Agency 2M Add Swap Dealer Banking/Thrift institution Morgan Stanley Bank International Limited Morgan Stanley Bank International Limited N Y Y Bank of Italy L6 Commissione Nazional per le societa' e la Borsa L6 Add Swap Dealer Banking/Thrift institution Morgan Stanley Bank, N.A. Morgan Stanley Bank, N.A. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Morgan Stanley Canada Limited Morgan Stanley Canada Limited N Y Y Investment Industry Regulatory Organization of Canada 2480 Z4 Add Swap Dealer Morgan Stanley Capital Group Inc. Morgan Stanley Capital Group Inc. N Y N Add Swap Dealer Morgan Stanley Capital Products LLC Morgan Stanley Capital Products LLC N Y N Add Swap Dealer Morgan Stanley Capital Services LLC Morgan Stanley Capital Services LLC N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Morgan Stanley Distribution Inc. Morgan Stanley Distribution Inc. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Morgan Stanley Hong Kong Securities Limited Morgan Stanley Hong Kong Securities Limited N Y Y China Securities Regulatory Commission F4 Australian Securities and Investments Commission C3 Monetary Authhority of Singapore U0 Securities and Futures Commission K3 Add Investment Adviser Morgan Stanley Infrastructure Inc. Morgan Stanley Infrastructure Inc. N Y N Add Insurance company or agency Morgan Stanley Insurance Services Inc. Morgan Stanley Insurance Services Inc. N Y N Add Investment Adviser Morgan Stanley Investment Management Company Morgan Stanley Investment Management Company N Y Y Monetary Authority of Singapore U0 Financial Supervisory Commission M5 Financial Supervisory Service M5 Add Investment Company Commodity pool operator Commodity trading advisor Morgan Stanley Investment Management Inc. Morgan Stanley Investment Management Inc. N Y Y TBD TBD F4 TBD TBD K7 TBD TBD M5 Add Investment Adviser Morgan Stanley Investment Management Limited Morgan Stanley Investment Management Limited N Y Y TBD TBD X0 TBD TBD M5 TBD TBD C3 Add Investment Company Investment Adviser Morgan Stanley Investment Management Private Limited Morgan Stanley Investment Management Private Limited N Y Y TBD TBD K7 Add Broker-dealer municipal securities dealer or government securities broker or dealer Swap Dealer Morgan Stanley MUFG Securities Co., Ltd. Morgan Stanley MUFG Securities Co., Ltd. N Y Y Financial Servcies Agency Kanto Local Financial Bureau No. 188 M0 Add Banking/Thrift institution Morgan Stanley Private Bank, National Association Morgan Stanley Private Bank, National Association N Y N Add Investment Adviser Morgan Stanley Private Equity Asia, Inc. Morgan Stanley Private Equity Asia, Inc. N Y N Add Investment Adviser Morgan Stanley Real Estate Advisor, Inc. Morgan Stanley Real Estate Advisor, Inc. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company Morgan Stanley Smith Barney LLC Morgan Stanley Smith Barney LLC N Y N Delete Investment Adviser Morgan Stanley Smith Barney Venture Services LLC Morgan Stanley Smith Barney Venture Services LLC N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Futures commission merchant Morgan Stanley Taiwan Limited Morgan Stanley Taiwan Limited N Y Y Ministry of Economic Affairs F5 inancial Supervisory Commission F5 Monetary Authority of Singapore U0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Morgan Stanley Wealth Management Australia PTY LTD Morgan Stanley Wealth Management Australia PTY LTD N Y Y Australian Securities and Investments Commission C3 Add Investment Adviser MS Capital Partners Adviser Inc. MS Capital Partners Adviser Inc. N Y N Add Investment Adviser MSREF Real Estate Advisor, Inc. MSREF Real Estate Advisor, Inc. N Y N Add Investment Company MSRESS III Manager, L.L.C. MSRESS III Manager, L.L.C. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Prime Dealer Services Corp. Prime Dealer Services Corp. Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer PT Morgan Stanley Sekuritas Indonesia PT Morgan Stanley Sekuritas Indonesia N Y Y Financial Services Authority K8 Monetary Authority of Singapore U0 Add Insurance company or agency SBHU Life Agency Inc. SBHU Life Agency Inc. N Y N Add Commodity pool operator Tactical II SLP LP Tactical II SLP LP N Y N Add Investment Adviser AIP Crystal-SMA I SLP LP AIP Crystal-SMA I SLP LP N Y N Add Investment Adviser AIP Opportunistic Secondaries I SLP LP AIP Opportunistic Secondaries I SLP LP N Y N Add Banking/Thrift institution Banco Morgan Stanley S.A. Banco Morgan Stanley S.A. N Y Y Central Bank of Brazi, Comissao de Valores Mobiliarios D5 Add Investment Adviser Mesa West DSA, LLC Mesa West DSA, LLC N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Banking/Thrift institution Morgan Stanley Bank Asia Limited Morgan Stanley Asia Bank Asia Limited N Y Y Hong Kong Monetary Authority K3 Securities and Futures Commission K3 Monetary Authority of Singapore U0 Add Investment Adviser Morgan Stanley Australia Limited Morgan Stanley Australia Limited N Y Y Australian Securities and Investments Commission C3 Add Investment Adviser Moragn Stanley Capital K.K. Moragn Stanley Capital K.K. N Y Y Kanto Local Financial Bureau Kanzai-Kisho-1527 M0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Morgan Stanley Corretora de Titulos e Valores Mobilarios S.A. Morgan Stanley Corretora de Titulos e Valores Mobilarios S.A. N Y Y Central Bank of Brazil, D5 Comissao de Valores Mobiliarios D5 Add Banking/Thrift institution Morgan Stanley Europe SE Morgan Stanley Europe SE N Y Y Bundesanstalt fur Finanzdienstleistungsaufsicht 2M Bundesbank 2M Add Broker-dealer municipal securities dealer or government securities broker or dealer Morgan Stanley France S.A. Morgan Stanley France S.A. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Morgan Stanley India Company Private Limited Morgan Stanley India Company Private Limited N Y Y Ministry of Corporate Affairs and Securities K7 Exchange Board of India K7 Add Investment Adviser Morgan Stanley India Financial Services Private Limited Morgan Stanley India Financial Services Private Limited N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Morgan Stanley India Primary Dealer Private Limited Morgan Stanley India Primary Dealer Private Limited N Y Y Ministry of Corporate Affairs and Securities K7 Exchange Board of India K7 Add Investment Adviser Morgan Stanley Investment Management (ACD) Limited Morgan Stanley Investment Management (ACD) Limited N Y Y Financial Services Agency M0 Delete Investment Adviser Morgan Stanley Investment Management (Ireland) Limited Morgan Stanley Investment Management (Ireland) Limited N Y N Add Investment Adviser Morgan Stanley Investment Management (Japan) Co., Ltd. Morgan Stanley Investment Management (Japan) Co., Ltd. N Y Y Financial Services Agency M0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Morgan Stanley Saudi Arabia Morgan Stanley Saudi Arabia N Y Y Comision Nacional del Mercado de Valores Spain U3 Add Investment Adviser MSIM Fund Management (Ireland) Limited MSIM Fund Management (Ireland) Limited N Y Y TBD TBD L2 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser OOO Morgan Stanley Bank OOO Morgan Stanley Bank N Y Y Federal Financial Markets Service 1Z Add Insurance company or agency Peconic Indemnity Company Peconic Indemnity Company N Y N Add Commodity pool operator Tactical III SLP LP Tactical III SLP LP N Y N Add Investment Adviser Other municipal advisor AIP Asia-SMA II SLP LP AIP Asia-SMA II SLP LP N Y N Add Investment Adviser AIP Comprehensive Secondaries III SLP LP AIP Comprehensive Secondaries III SLP LP N Y N Add Investment Adviser AIP Diamond-SMA I SLP LP AIP Diamond-SMA I SLP LP N Y N Add Investment Adviser AIP Global Diversified VII SLP LP AIP Global Diversified VII SLP LP N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser AIP Global Income II SLP LP AIP Global Income II SLP LP N Y N Add Investment Adviser AIP Mbar SLP LP AIP Mbar SLP LP N Y N Add Investment Adviser AIP MCS Value SLP LP AIP MCS Value SLP LP N Y N Add Investment Adviser AIP Stakes I SLP LP AIP Stakes I SLP LP N Y N Add Investment Adviser Global Diversified Alternatives IV SLP GP Ltd Global Diversified Alternatives IV SLP GP Ltd N Y N Add Investment Adviser Morgan Stanley Infrastructure II Inc. Morgan Stanley Infrastructure II Inc. N Y N Add Insurance company or agency Morgan Stanley International Insurance Ltd. Morgan Stanley International Insurance Ltd. N Y N Add Trust Company Morgan Stanley Pension Trustee Limited Morgan Stanley Pension Trustee Limited N Y N Add Insurance company or agency Morgan Stanley Reinsurance Ltd. Morgan Stanley Reinsurance Ltd. N Y N Add Investment Adviser MSREF V, L.L.C. MSREF V, L.L.C. N Y N Add Investment Adviser MSREF VI, L.L.C. MSREF VI, L.L.C. N Y N Add Banking/Thrift institution ETRADE Savings Bank ETRADE Savings Bank N Y N Add Investment Adviser ETRADE Capital Management LLC ETRADE Capital Management LLC N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer ETRADE Securities LLC ETRADE Securities LLC N Y N Add Futures commission merchant ETRADE Futures LLC ETRADE Futures LLC N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Eaton Vance Distributors, Inc. Eaton Vance Distributors, Inc. N Y N Add Investment Adviser Eaton Vance Investment Counsel Eaton Vance Investment Counsel N Y N Add Trust Company Eaton Vance Trust Company Eaton Vance Trust Company N Y N Add Investment Adviser Atlanta Capital Management Company LLC Atlanta Capital Management Company LLC N Y N Add Investment Adviser Parametric Portfolio Associates LLC Parametric Portfolio Associates LLC N Y N Add Investment Adviser Calvert Research and Management Calvert Research and Management N Y N Add Investment Adviser Boston Management and Research Boston Management and Research N Y N Add Investment Adviser Eaton Vance Management Eaton Vance Management N Y Y Financial Services Commission, South Korea M5 Add Investment Company Eaton Vance Asia Pacific Ltd. Eaton Vance Asia Pacific Ltd. N Y Y Financial Services Agency & Kanto Local Financial Business; Japan M0 Add Investment Adviser Eaton Vance Advisers International Ltd. Eaton Vance Advisers International Ltd. N Y Y Financial Conduct Authority; United Kingdom X0 Add Investment Company Eaton Vance Global Advisors Limited Eaton Vance Global Advisors Limited N Y Y Central Bank of Ireland; Ireland L2 Add Investment Adviser MS 522 CLO Manager L.L.C. MS 522 CLO Manager L.L.C. N Y N Add Investment Adviser Tactical IV SLP LP Tactical IV SLP LP N Y N Add Investment Adviser AIP Cosmic SLP LP AIP Cosmic SLP LP N Y N Add Investment Adviser AIP Opportunistic Secondaries II SLP LP AIP Opportunistic Secondaries II SLP LP N Y N Add Banking/Thrift institution E*TRADE Bank E*TRADE Bank N Y N N N N N N N N N N N N N N MORGAN STANLEY 0000895421 Schedule B N N N N Y Y N Y Y Y Y N Y N Y Y N Y N N Y Y N N N Y Morgan Stanley Domestic Holdings Inc. N 20-8764829 Member 05-31-2011 E Y Mohit Ashok Assomull Director 02-04-2013 NA Y 3103550 John Hill Faulkner General Counsel 05-31-2005 NA Y 2454537 Graeme NMN McEvoy Chief Operations Officer 06-29-2010 NA Y 5595318 Belinda Anne Blaine Chief Compliance Officer 06-28-2016 NA Y 5219964 Thomas George Wipf Director 07-24-2012 NA Y 1559273 Gary Michael Lynn Chief Financial Officer 01-27-2017 NA Y 2162411 Michael Allen Stern Director 02-25-2015 NA Y 4939073 Matthew Evan Berke Chairman, Chief Executive Officer, President and Director 02-26-2016 NA Y 2524594 Ismail Omar Bhaimia Director 05-07-2019 NA Y 6264162 Morgan Stanley Capital Management LLC Morgan Stanley Y 36-3145972 Shareholder 10-29-2002 E Y Morgan Stanley Domestic Holdings Inc. Morgan Stanley Capital Management LLC Y 11-3658445 Shareholder 03-16-2007 E Y Morgan Stanley Domestic Holdings Inc. N 20-8764829 Member 05-31-2011 E Y Mohit Ashok Assomull Director 02-04-2013 NA Y 3103550 John Hill Faulkner General Counsel 05-31-2005 NA Y 2454537 Graeme NMN McEvoy Chief Operations Officer 06-29-2010 NA Y 5595318 Belinda Anne Blaine Chief Compliance Officer 06-28-2016 NA Y 5219964 Thomas George Wipf Director 07-24-2012 NA Y 1559273 Gary Michael Lynn Chief Financial Officer 01-27-2017 NA Y 2162411 Michael Allen Stern Director 02-25-2015 NA Y 4939073 Matthew Evan Berke Chairman, Chief Executive Officer, President and Director 02-26-2016 NA Y 2524594 Ismail Omar Bhaimia Director 05-07-2019 NA Y 6264162 Morgan Stanley Capital Management LLC Morgan Stanley Y 36-3145972 Shareholder 10-29-2002 E Y Morgan Stanley Domestic Holdings Inc. Morgan Stanley Capital Management LLC Y 11-3658445 Shareholder 03-16-2007 E Y 9-E2 MORGAN STANLEY & CO. LLC 8209 1711171 9-E2 MORGAN STANLEY & CO. LLC 8209 1711170 9-E2 MORGAN STANLEY & CO. LLC 8209 1711169 9-E2 MORGAN STANLEY & CO. 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LLC 8209 1134506 Laurie Miles Laurie Miles Associate 04-28-2021 8209 N N N N N Y Y Y Y N N N Y N N N N Y Y N N


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