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
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 NFA Arbitration Decisions 
 RoleNumber
Claimant1
Respondent1
details...
 CFTC Reparations Cases 
Total0
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 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(s) 10% or More
Financial Interest
JED FINNDIRECTOR
NO
SURAJIT KUMAR GHOSHHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
NORMAN WILSON HEUSSERCHIEF FINANCIAL OFFICER
NO
BENJAMIN CORDT HUNEKEDIRECTOR
NO
JAMES TROY JANOVERDIRECTOR
NO
SEAN MICHAEL MAHERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
DAVID MORANOHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
MORGAN STANLEY DOMESTIC HOLDINGS INC
YES
SHELLEY SUZANNE OCONNORCHIEF EXECUTIVE OFFICER
NO
ROSE ANNE NANCY RICHTERCHIEF COMPLIANCE OFFICER
NO
ANDREW MICHAEL SAPERSTEINCHIEF EXECUTIVE OFFICER
NO
 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• PRINCIPAL WITHDRAWN 10/02/2009 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