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Detailed Report
NATHAN F UNDERWOOD
NATHAN FREDERICK UNDERWOOD
CRD#: 5227109
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 601 Union Street, Two Union Square
Suite 5200
Seattle, WA 98101
Registration History
20082010201220142016201820202022202420262 FIRMS2016 - 2021 (5 years)2 FIRMS2021 - Present (4 years)BMORGAN STANLEY (CRD# 149777)2009 - 2016 (6 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2009 (2 years)IAMORGAN STANLEY (CRD# 149777)2011 - 2016 (4 years)
License(s)

State Registrations

B
Alabama 5/12/2021
B
Montana 5/12/2021
B
Alaska 5/12/2021
B
Nebraska 11/4/2021
B
Arizona 5/12/2021
B
Nevada 5/12/2021
B
Arkansas 5/12/2021
B
New Jersey 5/12/2021
B
California 5/12/2021
B
New Mexico 5/12/2021
B
Colorado 5/12/2021
B
New York 5/12/2021
B
Delaware 11/29/2022
B
North Carolina 5/12/2021
B
District of Columbia 11/22/2021
B
Ohio 5/13/2021
B
Florida 5/12/2021
B
Oregon 5/12/2021
B
Georgia 5/12/2021
B
Pennsylvania 5/13/2022
B
Hawaii 5/12/2021
B
Tennessee 8/12/2024
B
Idaho 5/12/2021
B
Texas 5/12/2021
B
Illinois 5/12/2021
IA
Texas 5/13/2021
B
Indiana 5/12/2021
B
Virginia 5/12/2021
B
Iowa 10/8/2021
B
Washington 3/29/2021
B
Maine 5/12/2021
IA
Washington 3/29/2021
B
Maryland 5/12/2021
B
Wisconsin 5/12/2021
B
Massachusetts 5/12/2021
B
Wyoming 5/12/2021
B
Minnesota 5/12/2021

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)
601 Union Street, Two Union Square Suite 5200, Seattle, WA 98101
Registered with this firm since 3/29/2021
B
MORGAN STANLEY (CRD#:149777)
601 Union Street, Two Union Square Suite 5200, Seattle, WA 98101
Registered with this firm since 3/29/2021
Previous Registration(s)
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IA
 02/01/2016 - 03/01/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BELLEVUE, WA
B
 02/01/2016 - 03/01/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BELLEVUE, WA
IA
 04/06/2011 - 02/05/2016 MORGAN STANLEY (CRD#:149777) SEATTLE, WA
B
 06/01/2009 - 02/05/2016 MORGAN STANLEY (CRD#:149777) SEATTLE, WA
B
 01/17/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SEATTLE, WA
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.