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Detailed Report
NEIL DOUGLAS MENZIES
NEIL D MENZIES
CRD#: 3245635
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 4309 Hacienda Drive
Suite 200
Pleasanton, CA 94588
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2005 (5 years)2 FIRMS2005 - 2009 (4 years)2 FIRMS2009 - Present (15 years)
License(s)

State Registrations

B
Alaska 7/31/2023
B
Missouri 4/28/2022
B
Arizona 2/21/2012
B
Montana 4/29/2022
B
California 6/1/2009
B
Nebraska 4/28/2022
IA
California 6/1/2009
B
Nevada 1/3/2014
B
Colorado 2/21/2012
B
New Hampshire 1/10/2025
B
Connecticut 1/4/2023
B
New Jersey 6/1/2009
B
District of Columbia 8/26/2015
B
New York 6/1/2009
B
Florida 1/16/2013
B
North Carolina 6/1/2009
B
Georgia 2/17/2012
B
Ohio 6/1/2009
B
Hawaii 6/21/2018
B
Oklahoma 1/25/2023
B
Idaho 5/3/2017
B
Oregon 6/1/2009
B
Illinois 4/16/2014
B
Pennsylvania 9/13/2016
B
Iowa 9/21/2023
B
South Carolina 4/28/2022
B
Kansas 5/3/2017
B
Tennessee 9/24/2020
B
Kentucky 4/28/2022
B
Texas 6/1/2009
B
Louisiana 1/4/2023
IA
Texas 3/3/2020
B
Maryland 2/21/2012
B
Utah 1/5/2012
B
Massachusetts 4/20/2015
B
Virginia 2/21/2012
B
Minnesota 6/1/2009
B
Washington 6/1/2009
B
Mississippi 1/9/2013
B
Wisconsin 5/3/2022

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
4309 Hacienda Drive Suite 200, Pleasanton, CA 94588
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
4309 Hacienda Drive Suite 200, Pleasanton, CA 94588
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/12/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PLEASANTON, CA
B
 05/12/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PLEASANTON, CA
IA
 09/13/1999 - 05/23/2005 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) NEW YORK, NY
B
 07/19/1999 - 05/23/2005 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.