Skip Navigation Links

Details

MORGAN STANLEY SMITH BARNEY LLC NFA ID: 0409019

Current Status
• INTRODUCING BROKER REGISTERED 
• SWAP FIRM APPROVED 
• NFA MEMBER APPROVED 
Firm Activity Status
Firm has on-exchange futures and/or options customer accountsYes
Firm is soliciting customersYes
Firm manages futures or options customer accountsYes
Firm operates commodity poolsNo
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
Regulatory Actions
 AgencyNumber
NFA0
CFTC3
Exchanges0
details...
 
NFA Arbitration Decisions
 RoleNumber
Claimant1
Respondent1
details...
 
CFTC Reparations Cases
Total0
details...
Formerly Known As
No other names
 
Business Address
2000 WESTCHESTER AVENUE
PURCHASE, NY  10577
UNITED STATES
914-225-5510
Doing Business As
• CONSULTING GROUP• GRAYSTONE CONSULTING
• MORGAN STANLEY• MORGAN STANLEY CONSULTING GROUP
• MORGAN STANLEY PRIVATE WEALTH MANAGEMENT• MORGAN STANLEY SMITH BARNEY
• MORGAN STANLEY WEALTH MANAGEMENT• PRIVATE PORTFOLIO GROUP
Listed Principals
 Listed Principal Name Title 10% or More
Financial Interest
JED FINNDIRECTORNO
JEFFREY ALLEN GELFANDCHIEF FINANCIAL OFFICERNO
SURAJIT KUMAR GHOSHHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
BENJAMIN CORDT HUNEKEDIRECTORNO
JAMES TROY JANOVERDIRECTORNO
SEAN MICHAEL MAHERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
DAVID MORANOHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
MORGAN STANLEY SMITH BARNEY HOLDINGS LLC YES
SHELLEY SUZANNE OCONNORCHIEF EXECUTIVE OFFICERNO
ROSE ANNE NANCY RICHTERCHIEF COMPLIANCE OFFICERNO
ANDREW MICHAEL SAPERSTEINCHIEF EXECUTIVE OFFICERNO
History
 Status Effective Date
• INTRODUCING BROKER REGISTERED09/05/2014 
• FUTURES COMMISSION MERCHANT WITHDRAWN09/05/2014 
• INTRODUCING BROKER PENDING07/16/2014 
• SWAP FIRM APPROVED02/11/2013 
• SWAP FIRM PENDING02/04/2013 
• NFA MEMBER APPROVED05/18/2009 
• FUTURES COMMISSION MERCHANT REGISTERED05/18/2009 
• NFA MEMBER PENDING03/26/2009 
• FUTURES COMMISSION MERCHANT PENDING03/26/2009 
CERES MANAGED FUTURES LLC 
• PRINCIPAL WITHDRAWN 10/02/2009 
• PRINCIPAL APPROVED 08/07/2009 
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.