Steven E Schwartz

CRD 1813694 · Morgan Stanley · New York, NY

IA RegisteredBroker

Also appears in the source record as: Steven Elliot Schwartz

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 10Series 9SIESeries 3Series 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 33
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (13)

From the source registration record · current first

Morgan StanleyCurrent
New York, NY · IA capacity

May 9, 2019 → present
Wells Fargo Advisors Financial Network, LLC
BD capacity

Nov 1, 2016 → May 7, 2019
Wells Fargo Advisors Financial Network, LLC
IA capacity

Nov 1, 2016 → May 7, 2019
Wells Fargo Advisors, LLC
BD capacity

Dec 17, 2012 → Oct 21, 2016
Wells Fargo Advisors, LLC
IA capacity

Dec 17, 2012 → Oct 21, 2016
Morgan Stanley
BD capacity

Jun 1, 2009 → Jan 11, 2013
Morgan Stanley
IA capacity

Jun 1, 2009 → Jan 11, 2013
Morgan Stanley & Co. Incorporated
BD capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
IA capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley
IA capacity

May 5, 2006 → Apr 2, 2007
Morgan Stanley Dw Inc.
BD capacity

Jul 2, 1999 → Apr 2, 2007
Salomon Smith Barney Inc.
BD capacity

Jul 31, 1993 → Jul 9, 1999
Lehman Brothers Inc.
BD capacity

Jul 15, 1993 → Jul 31, 1993

Source & corrections

Where this page comes from

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