DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

SCOTT S. NOTOWITZ

Advisor at MORGAN STANLEY

Boca Raton, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9a1440f6-cf0a-d500-8443-5f7e3472bec1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 17, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 17, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jun 26, 2001
First registration: May 17, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 4366845

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Sep 2, 2016	n/a	yes	Boca Raton, FL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 17, 2009	Sep 2, 2016	no	BOCA RATON, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 9, 2003	Jul 2, 2009	no	BOCA RATON, FL\|BOCA RATON, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Sep 19, 2003	no	BOCA RATON, FL	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	May 17, 2001	Jul 1, 2003	no	BOCA RATON, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Sep 2, 2016	Sep 2, 2016	0	Firm change	Wirehouse to wirehouse
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 2, 2009	Jun 17, 2009	-15	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	UBS FINANCIAL SERVICES INC.	Sep 19, 2003	Sep 9, 2003	-10	Firm change	Wirehouse to wirehouse
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:149777:FL:2016-09-02	Sep 2, 2016	Sep 2, 2016	BOCA RATON, FL	Firm change

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Sep 2, 2016 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 17, 2009 to Sep 2, 2016factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 9, 2003 to Jul 2, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Sep 19, 2003factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
May 17, 2001 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.