# EDGAR Filing Document

**Accession Number:** 0001359291
**File Stem:** 0000895421-23-000002
**Filing Date:** 2023-1
**Character Count:** 156911
**Document Hash:** 3bdb6143be14c71aab5bf2d1006692cb
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000895421-23-000002.hdr.sgml**: 20230213

**ACCESSION NUMBER**: 0000895421-23-000002

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230124

**DATE AS OF CHANGE**: 20230213

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** MORGAN STANLEY & CO. LLC
- **CENTRAL INDEX KEY:** 0001359291
- **IRS NUMBER:** 132655998
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-02468
- **FILM NUMBER:** 23614711

**BUSINESS ADDRESS:**
- **STREET 1:** 1585 BROADWAY
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10036
- **BUSINESS PHONE:** 212-761-4000

**MAIL ADDRESS:**
- **STREET 1:** 1585 BROADWAY
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10036

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Morgan Stanley & Co. INC
- **DATE OF NAME CHANGE:** 20060413

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001359291

**Filer CCC:** XXXXXXXX

**Contact Name:** Claudia Sanchez

**Contact Phone:** 212-537-2365

**Contact Email:** claudia.sanchez@morganstanley.com

**Notification Emails:** Laure.Salvaggio@morganstanley.com, Shannon.Johnson@morganstanley.com, Claudia.Sanchez@morganstanley.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** MORGAN STANLEY & CO. LLC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 8209

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 13-2655998

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00466-00

- **Municipal Advisor:** SEC File No: 867-02468

- **Broker-Dealer:** SEC File No: 008-15869, CRD No: 8209

- **Other:** Description: CFTC, ID: 3045

**Additional Registrations:**

- **Alabama Securities Commission:** 8209

- **Alaska Divison of Banking and Securities:** 8209

- **Arizona Corporation Commission:** 8209

- **Arkansas Securities Department:** 8209

- **California Department of Business Oversight:** 8209

- **Colorado Divison of Securities:** 8209

- **Connecticut Department of Banking:** 8209

- **Delaware Department of Justice:** 8209

- **District of Columbia Department of Insurance, Securities and Banking:** 8209

- **Florida Office of Business Regulation:** 8209

- **Georgia Office of the Secretary of State, Division of Securities:** 8209

- **Hawaii Department of Commerce & Consumer Affairs, Division of Business Regulation:** 8209

- **Idaho Department of Finance:** 8209

- **Illinois Office of the Secretary of State, Securities Department:** 8209

- **Indiana Office of the Secretary of State, Securities Division:** 8209

- **Iowa Insurance Division, Securities Bureau:** 8209

- **Kansas Office of the Securities Commissioner:** 8209

- **Kentucky Department of Financial Institutions:** 8209

- **Louisiana Securities Commission:** 8209

- **Maine Department of Profressional & Financial Regulation:** 8209

- **Maryland Office of the Attorney General, Division of Securities:** 8209

- **Massachusetts Securities Division:** 8209

- **Michigan Department of Licensing and Regulatory Affairs Corporation, Securities and Commercial Licensing Bureau:** 8209

- **Minnesota Department of Commerce:** 8209

- **Mississippi Office of the Secretary of State, Securities Division:** 8209

- **Missouri Office of the Secretary of State, Securities Division:** 8209

- **Montana Commissioner of Securities & Insurance:** 8209

- **Nebraska Department of Banking & Finance:** 8209

- **Nevada Secretary of State, Securities Division:** 8209

- **New Hampshire Bureau of Securities Regulation:** 8209

- **New Jersey Department of Law & Public Safety, Bureau of Securities:** 8209

- **New Mexico Regulation & Licensing Department, Securities Division:** 8209

- **New York Office of the Attorney General, Investor Protection Bureau:** 8209

- **North Carolina Department of the Secretary of State, Securities Division:** 8209

- **North Dakota Securities Commission:** 8209

- **Ohio Division of Securities:** 8209

- **Oklahoma Securities Commissiioner:** 8209

- **Oregon Department of Consumer & Business Services, Division of Finance & Corp. Securities:** 8209

- **Pennsylvania Department of Banking and Securities:** 8209

- **Puerto Rico Commissioner of Financial Institutiions:** 8209

- **Rhode Island Department of Business Regulation:** 8209

- **South Carolina Office of the Attorney General, Securities Division:** 8209

- **South Dakota Division of Securities:** 8209

- **Tennessee Department of Commerce & Insurance, Securities Division:** 8209

- **Texas State Securities Board:** 8209

- **US Virgin Islands Divison of Banking and Insurance:** 8209

- **Utah Department of Commerce, Division of Securities:** 8209

- **Vermont Department of Financial Regulation:** 8209

- **Virginia State Corporation Commission, Division of Securities & Retail Franchising:** 8209

- **Washington Department of Financial Institutions, Securities Division:** 8209

- **West Virginia Office of the State Auditor, Securities Division:** 8209

- **Wisconsin Department of Financial Institutions, Division of Securities:** 8209

- **Wyoming Secretary of State, Compliance Division:** 8209

- **Federal Reserve Board:** 1573239

**E. Principal Office and Place of Business:** 1585 BROADWAY, NEW YORK, NY, 10036

**Telephone Number:** 212-761-4000

**Additional Offices of Employment:**

- **Office #1 (Add):** 200 Cresent Court, 9th Floor, Dallas, TX, 75201 | Phone: 214-720-2942

- **Office #2 (Add):** 106 East Sixth Street, Suite 836, Austin, TX, 78701 | Phone: 512-322-5760

**Mailing Address is Different from Principal Office:** Yes

**Mailing Address:** 1633 Broadway, 29th Floor, New York, NY, 10019

**F. Website:** www.morganstanley.com

**G. Chief Compliance Officer (CCO):**

**Name:** Thomas Edward Smallman

**Titles:** Managing Director

**Address:** 1633 Broadway, 29th Floor, New York, NY, 10019

**Phone Number:** 212-537-2454

**Email:** Thomas.Smallman@morganstanley.com

**H. Business Affiliates:**

- **Name:** PRIME DEALER SERVICES CORP.

  - **Issuing Agency:** FINRA

  - **Jurisdiction:** DE

- **Name:** MORGAN STANLEY DOMESTIC HOLDINGS, INC.

- **Name:** MORGAN STANLEY CAPITAL MANAGEMENT, LLC

- **Name:** MORGAN STANLEY

  - **Issuing Agency:** Federal Reserve Board

  - **Jurisdiction:** 

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** DE

**D. Date of Organization:** 12-03-1969

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 3900

**B. Municipal Advisory Activities - Employees:** 20

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 20

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 0

**&nbsp;&nbsp;&nbsp;Types of Clients:** Not Applicable

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice Guaranteed IC

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Swap Dealer, Security-based swap dealer, Commodity pool operator, Commodity trading advisor, Futures commission merchant, Banking/Thrift institution, Trust Company, Insurance company or agency, Sponsor or syndicator of limited partnerships, Commodity pool operator, Commodity trading advisor, Investment Adviser, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Swap Dealer, Security-based swap dealer, Commodity pool operator, Investment Company, Commodity pool operator, Commodity trading advisor, Commodity pool operator, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Banking/Thrift institution, Swap Dealer, Banking/Thrift institution, Swap Dealer, Security-based swap dealer, Banking/Thrift institution, Broker-dealer municipal securities dealer or government securities broker or dealer, Swap Dealer, Swap Dealer, Swap Dealer, Security-based swap dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Insurance company or agency, Investment Adviser, Investment Company, Commodity pool operator, Commodity trading advisor, Investment Adviser, Investment Company, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Swap Dealer, Banking/Thrift institution, Investment Adviser, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Futures commission merchant, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Adviser, Investment Adviser, Investment Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Insurance company or agency, Commodity pool operator, Investment Adviser, Investment Adviser, Banking/Thrift institution, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Banking/Thrift institution, Investment Adviser, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Swap Dealer, Security-based swap dealer, Banking/Thrift institution, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Adviser, Insurance company or agency, Commodity pool operator, Investment Adviser, Other municipal advisor, Investment Adviser, Investment Adviser, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Insurance company or agency, Trust Company, Insurance company or agency, Investment Adviser, Investment Adviser, Banking/Thrift institution, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Futures commission merchant, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Trust Company, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Investment Company, Investment Adviser, Investment Company, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Banking/Thrift institution, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Investment Adviser, Investment Adviser, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Trust Company, Trust Company, Trust Company, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Investment Adviser

**Total Associated Persons:** 109

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** Yes

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** Yes

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** Yes

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** Yes

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** Yes

- **Found to Have Violated Regulations?:** Yes

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                                  | Title/Status                                              | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Morgan Stanley Domestic Holdings Inc. | Member                                                    | 05-31-2011      | E - 75% or more   | Yes               | 20-8764829   |  |
| Mohit Ashok Assomull                  | Director                                                  | 02-04-2013      | NA - less than 5% | Yes               |  | 3103550      |
| John Hill Faulkner                    | General Counsel                                           | 05-31-2005      | NA - less than 5% | Yes               |  | 2454537      |
| Thomas George Wipf                    | Director                                                  | 07-24-2012      | NA - less than 5% | Yes               |  | 1559273      |
| Gary Michael Lynn                     | Chief Financial Officer                                   | 01-27-2017      | NA - less than 5% | Yes               |  | 2162411      |
| Michael Allen Stern                   | Director                                                  | 02-25-2015      | NA - less than 5% | Yes               |  | 4939073      |
| Matthew Evan Berke                    | Chairman, Chief Executive Officer, President and Director | 02-26-2016      | NA - less than 5% | Yes               |  | 2524594      |
| Ismail Omar Bhaimia                   | Director                                                  | 05-07-2019      | NA - less than 5% | Yes               |  | 6264162      |
| Thomas Edward Smallman                | Chief Compliance Officer                                  | 04-12-2021      | NA - less than 5% | Yes               |  | 4272758      |
| William David Hirshorn                | Chief Operations Officer                                  | 11-18-2022      | NA - less than 5% | Yes               |  | 1564223      |

### Schedule B: Indirect Owners

| Owning Entity                         | Name                                  | Title/Status   | Date Acquired   | Ownership Code   | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Morgan Stanley Capital Management LLC | Morgan Stanley                        | Shareholder    | 10-29-2002      | E - 75% or more  | Yes               | 36-3145972   |
| Morgan Stanley Domestic Holdings Inc. | Morgan Stanley Capital Management LLC | Shareholder    | 03-16-2007      | E - 75% or more  | Yes               | 11-3658445   |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity                         | Name                                  | Title/Status                                              | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Morgan Stanley Domestic Holdings Inc. | Member                                                    | 05-31-2011      | E - 75% or more   | Yes               | 20-8764829   |  |
|  | Indirect    | Morgan Stanley Capital Management LLC | Morgan Stanley                        | Shareholder                                               | 10-29-2002      | E - 75% or more   | Yes               | 36-3145972   |  |
|  | Indirect    | Morgan Stanley Domestic Holdings Inc. | Morgan Stanley Capital Management LLC | Shareholder                                               | 03-16-2007      | E - 75% or more   | Yes               | 11-3658445   |  |
|  | Direct      |  | Mohit Ashok Assomull                  | Director                                                  | 02-04-2013      | NA - less than 5% | Yes               |  | 3103550      |
|  | Direct      |  | John Hill Faulkner                    | General Counsel                                           | 05-31-2005      | NA - less than 5% | Yes               |  | 2454537      |
|  | Direct      |  | Thomas George Wipf                    | Director                                                  | 07-24-2012      | NA - less than 5% | Yes               |  | 1559273      |
|  | Direct      |  | Gary Michael Lynn                     | Chief Financial Officer                                   | 01-27-2017      | NA - less than 5% | Yes               |  | 2162411      |
|  | Direct      |  | Michael Allen Stern                   | Director                                                  | 02-25-2015      | NA - less than 5% | Yes               |  | 4939073      |
|  | Direct      |  | Matthew Evan Berke                    | Chairman, Chief Executive Officer, President and Director | 02-26-2016      | NA - less than 5% | Yes               |  | 2524594      |
|  | Direct      |  | Ismail Omar Bhaimia                   | Director                                                  | 05-07-2019      | NA - less than 5% | Yes               |  | 6264162      |
|  | Direct      |  | Thomas Edward Smallman                | Chief Compliance Officer                                  | 04-12-2021      | NA - less than 5% | Yes               |  | 4272758      |
|  | Direct      |  | William David Hirshorn                | Chief Operations Officer                                  | 11-18-2022      | NA - less than 5% | Yes               |  | 1564223      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1711171

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1711170

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1711169

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1703650

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1701833

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

  - **Disclosure Number:** 1698447

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1697432

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1697431

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1696360

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1671148

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1670513

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for 8-68191

  - **Disclosure Number:** 1670513

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1669294

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

  - **Disclosure Number:** 1669195

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1662204

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1658138

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1651359

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1641464

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1641249

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1640446

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1638880

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1636748

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1636487

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1628805

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1621841

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1621268

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1621108

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1618625

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1617124

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1617121

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1617120

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1615175

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1613597

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1611797

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

  - **Disclosure Number:** 1611797

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1610686

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1611797

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1597563

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1594241

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1592277

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

  - **Disclosure Number:** 1590473

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1587050

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1586190

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1586189

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1585918

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

  - **Disclosure Number:** 1585918

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1583162

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

  - **Disclosure Number:** 1576541

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1569549

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1564174

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1563697

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1562857

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1561108

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1557261

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1557260

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1556993

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1550080

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1549365

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

  - **Disclosure Number:** 1545273

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1540185

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1538703

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1523442

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1523441

**Regulatory DRP for: Applicant (Responding to Questions: 9-E1, 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1522697

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1522002

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1522001

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1515502

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1511468

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1510607

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1510605

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1510604

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1510603

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1503968

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1503966

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1503965

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1503964

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1503963

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1500752

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1498555

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1498554

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1498553

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1498552

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1498551

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1498550

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1498549

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1498547

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1494638

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1493280

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1493279

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 191662

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1490614

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1490613

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1490323

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1490322

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1490321

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1490320

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1490319

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1490318

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1490317

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1490315

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1490314

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1490313

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1490312

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1488054

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1486397

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1483743

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1480070

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1478965

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1477802

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1473133

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1473097

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1470064

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1469794

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1465990

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1460313

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1448877

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1446989

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1446649

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1439317

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1436874

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1436873

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1433396

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1432006

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1432002

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1431483

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1427239

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1424978

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1423855

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1423404

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1422272

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1421841

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1421840

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1419847

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1416909

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1414931

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1413929

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1412454

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1409195

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1407732

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1407731

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1404988

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1404987

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1404986

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1404985

**Regulatory DRP for: Applicant (Responding to Questions: 9-E3)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1403818

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1403467

**Regulatory DRP for: Applicant (Responding to Questions: 9-D3, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1403466

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1402325

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1400865

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1400864

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1400861

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1398233

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1398232

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1398231

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1398230

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1398118

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1398116

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1398115

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1394452

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1392888

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1387884

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1382233

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1381992

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1372772

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1372208

**Regulatory DRP for: Applicant (Responding to Questions: 9-E1, 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1362938

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1362238

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1353706

**Regulatory DRP for: Applicant (Responding to Questions: 9-E3)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1352765

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1347466

**Regulatory DRP for: Applicant (Responding to Questions: 9-E1, 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1347465

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1347464

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1346145

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1332740

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1321669

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1321328

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1317885

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1316774

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1312503

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1311304

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1307479

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1305482

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1305481

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1304714

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1254337

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1251593

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1236328

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1234316

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1231882

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1209641

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1209640

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1204766

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1199196

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1191032

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1189319

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1185266

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1185264

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1182319

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1179335

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1179334

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1179333

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1179332

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1179330

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1179329

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1177800

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1176500

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1174154

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1174153

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1174152

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1174151

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1172642

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1170848

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1170847

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1169906

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1169905

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1169904

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1168176

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1167669

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1167668

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1167667

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1166188

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1164872

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1164871

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1164870

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1164041

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1163025

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1163024

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1163023

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1163022

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1163021

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1163020

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1162800

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1161807

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1161805

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1161804

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1161801

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1161800

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1161799

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1161798

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1161465

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1159689

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1159688

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1159687

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1155835

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1154824

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1139305

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1138509

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1134412

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1124747

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1110604

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1110110

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1108850

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1107464

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1097255

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1069322

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1058564

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 999407

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987297

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987295

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987293

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987292

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987291

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987289

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987287

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987285

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987283

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987280

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987277

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987274

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987271

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987269

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987266

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 987254

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

  - **Disclosure Number:** 981630

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 975944

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 969939

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 915095

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

  - **Disclosure Number:** 871542

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 863472

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 738009

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

  - **Disclosure Number:** 688881

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 670023

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636767

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636766

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636765

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636764

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636763

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636724

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636703

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636683

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636671

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636668

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636667

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636665

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636663

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636643

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636573

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636570

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636567

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636344

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636336

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636334

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 605927

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 563018

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 372289

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 336283

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 318414

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 304130

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 280029

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 267499

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 262557

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 259855

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 255451

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 240325

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 240323

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 240320

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 203396

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 182765

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 182759

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 182748

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 182745

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 148581

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 146369

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 146325

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124908

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124907

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124906

**Regulatory DRP for: Applicant (Responding to Questions: 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124905

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124904

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124903

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124902

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124901

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124900

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124899

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124898

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124897

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124896

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124895

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124892

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124889

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124885

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124884

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124883

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124881

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124880

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124879

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124878

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124876

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124875

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124874

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124873

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MORGAN STANLEY & CO. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124872

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co LLC

  - **Disclosure Number:** 1974029

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1959744

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1956354

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1952969

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1950513

**Regulatory DRP for: Applicant (Responding to Questions: 9-D3, 9-D5)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1950512

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4, 9-D5)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1950510

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D3, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1950509

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1941243

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1936758

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1936753

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1929192

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1928866

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1917321

**Regulatory DRP for: Applicant (Responding to Questions: 9-E3)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1915183

**Regulatory DRP for: Applicant (Responding to Questions: 9-C3, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1914804

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1914696

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1891857

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1886605

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1882191

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1877116

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1874637

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1871417

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1871032

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1871031

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1870415

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1870414

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1869585

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1869413

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1859812

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1856635

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1843827

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1842791

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1842790

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1837323

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1809182

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1805319

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1795243

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1786487

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1771312

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1770263

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1770262

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1768212

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1758201

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1758201

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1756649

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1744915

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1744457

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1737267

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1736324

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1729979

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1729978

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1729977

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1729264

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1727670

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1724668

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1724667

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1723424

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1719178

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1658138

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1641249

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1626307

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1618625

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1608776

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1545273

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1500752

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1491662

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1161797

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 636665

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 146369

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 124899

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1959336

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1951725

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1947545

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1922362

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1922360

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1919440

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1917758

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1912343

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1910242

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1904602

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1904584

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1904522

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1902753

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1898912

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1888584

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1886519

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1869272

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1868634

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1856638

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1811389

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1787764

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1782713

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1773219

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1727945

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1724145

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1712500

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1708459

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1703406

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1698851

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1693243

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1692255

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1655892

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1632975

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1615670

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1610818

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1610801

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 1606303

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 36142

  - **Filed On (AP):** Form ADV/BD/U4 for Prime Dealer Services Corp.

  - **Disclosure Number:** 970248

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 2022094

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 2002220

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2002162

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2002161

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2002157

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2002134

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2002132

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2002122

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stalney & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2002038

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2001893

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1994531

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1994528

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1994514

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1994496

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1994487

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1994423

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1994420

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1994286

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1994165

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1992462

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1992461

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1992460

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 1992459

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1992458

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1992457

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1992240

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1992238

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1992237

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1992235

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1992233

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1992231

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1992227

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 1992226

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Banrey LLC

  - **Disclosure Number:** 2067381

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2073038

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2070704

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 2072990

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2076527

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2076335

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2076330

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2074321

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2072115

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 2079714

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2083055

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & CO LLC.

- **CRD Number:** 8209

- **Disclosure Number:** 2083054

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & CO LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2083051

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & CO LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2083049

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & CO LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2083048

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & CO LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2082980

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & CO LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2082983

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & CO LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2083001

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & CO LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2083002

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & CO LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2082990

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & CO LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2082905

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 2083622

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 2086234

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1933670

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1902400

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1891238

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1884651

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1858165

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1829949

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1775311

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1753261

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1726892

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1710611

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1689336

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1681313

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1676276

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1667179

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1654499

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1653427

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1637370

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1637369

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1636808

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1631586

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1631237

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1630744

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1630742

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1630741

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1629691

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1626773

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1625800

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1624452

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1524451

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1624450

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1622834

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1621360

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1621359

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1621358

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1621357

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1621356

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1616536

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1616535

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1616029

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LL

  - **Disclosure Number:** 1615633

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1614431

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1614430

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities

  - **Disclosure Number:** 1614429

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1614427

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1611413

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1608882

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1608881

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1608148

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1607712

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1607168

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1607167

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1606524

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1606514

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1606137

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1606135

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1604156

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1602451

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1601111

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1601110

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1600775

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1599777

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1599775

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1599524

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1598503

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1533315

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1523092

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1522296

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1511715

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1496402

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1493528

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1435694

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1413431

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1408524

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1398421

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1300901

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1174429

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1135149

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1106545

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1102472

**Regulatory DRP for: Applicant (Responding to Questions: 9-E1, 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 1018472

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 892442

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 719803

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 669717

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 576373

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 576317

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 29106

  - **Filed On (AP):** Form ADV/BD/U4 for ETRADE Securities LLC

  - **Disclosure Number:** 224091

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2090010

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 2079714

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 147933

  - **Filed On (AP):** Form ADV/BD/U4 for Solium Financial Services LLC

  - **Disclosure Number:** 2089511

**Regulatory DRP for: Applicant (Responding to Questions: 9-C3, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & CO LLC

  - **Disclosure Number:** 2093676

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & CO LLC

  - **Disclosure Number:** 2094676

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & CO LLC

  - **Disclosure Number:** 2094676

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & CO LLC

  - **Disclosure Number:** 2101546

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 149777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney LLC

  - **Disclosure Number:** 2103071

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 2117153

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MSCO

- **CRD Number:** 8209

- **Disclosure Number:** 2123263

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MSCO

- **CRD Number:** 8209

- **Disclosure Number:** 2123261

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for MSCO

- **CRD Number:** 8209

- **Disclosure Number:** 2123259

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 2147678

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2161702

**Regulatory DRP for: Applicant (Responding to Questions: 9-E3)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2200161

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 2211320

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 2198044

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 2192674

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2213971

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLc

  - **Disclosure Number:** 2218275

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2219918

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2223028

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 22322770

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2231173

  - **Associated Person:** —

  - **CRD Number:** 1497777

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley Smith Barney, LLC

  - **Disclosure Number:** 2231224

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2230823

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 2230823

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 2230823

  - **Associated Person:** —

  - **CRD Number:** 8209

  - **Filed On (AP):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

  - **Disclosure Number:** 2230823

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co., LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2231863

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co., LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2231861

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co., LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2231858

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co., LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2231687

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co., LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2231470

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co., LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2231469

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co., LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2231467

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co. LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2246363

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Morgan Stanley & Co LLC

- **CRD Number:** 8209

- **Disclosure Number:** 2252726

### Execution Page

**Signature:** Claudia Sanchez

**Signer Name:** Claudia Sanchez

**Title:** Vice President

**Date:** 01-24-2023