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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

Steven E Schwartz

Advisor at MORGAN STANLEY

New York, NY

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Search this name across graphsid dfx:ria:f3069f9e-3d0b-fe43-76d5-48ee2f02199d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 5, 2006 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: Jul 16, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 4
Exams: S63|S65
First exam: Jul 16, 1993
First registration: May 5, 2006
Dual registered: yes, broker-dealer
Other names: STEVEN ELLIOT SCHWARTZ
IAPD individual key: 1813694

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	May 9, 2019	n/a	yes	New York, NY	Current employment
WELLS FARGO ADVISORS	Wirehouse	Nov 1, 2016	May 7, 2019	no	FORT WASHINGTON, PA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 17, 2012	Oct 21, 2016	no	RADNOR, PA\|WAYNE, PA\|SHORT HILLS, NJ\|SUMMIT, NJ\|RADNOR, PA\|PHILADELPHIA, PA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jan 11, 2013	no	West Conshohocken, PA\|JENKINTOWN, PA\|JENKINTOWN, PA\|WEST CONSHOHOCKEN, PA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	JENKINTOWN, PA	Previous registration
MORGAN STANLEY DW INC.	n/a	May 5, 2006	Apr 2, 2007	no	JENKINTOWN, PA\|LANCASTER, PA	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
WELLS FARGO ADVISORS	MORGAN STANLEY	May 7, 2019	May 9, 2019	2	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	WELLS FARGO ADVISORS	Oct 21, 2016	Nov 1, 2016	11	Channel change	Wirehouse to wirehouse
MORGAN STANLEY	WELLS FARGO ADVISORS	Jan 11, 2013	Dec 17, 2012	-25	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	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
19616:11025:PA:2016-10-21	Oct 21, 2016	Nov 1, 2016	PHILADELPHIA, PA	Firm change

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jan 11, 2013factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 1, 2016 to May 7, 2019factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 17, 2012 to Oct 21, 2016factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
May 5, 2006 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.