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Morgan Stanley (MS)

MS on New York Consolidated

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8 Dec 2016
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Summary

Name Age Since Current Position

James Gorman

57 2012 Chairman of the Board, Chief Executive Officer

Colm Kelleher

58 2016 President

Jonathan Pruzan

47 2015 Chief Financial Officer, Executive Vice President

James Rosenthal

62 2011 Executive Vice President, Chief Operating Officer

Jeffrey Brodsky

51 2016 Chief Human Resource Officer, Executive Vice President

Keishi Hotsuki

53 2014 Executive Vice President, Chief Risk Officer

Eric Grossman

49 2012 Executive Vice President, Chief Legal Officer

Erskine Bowles

70 2014 Lead Independent Director

Nobuyuki Hirano

65 2015 Director

Ryosuke Tamakoshi

2011 Director

Alistair Darling

62 2016 Independent Director

Thomas Glocer

57 2013 Independent Director

Robert Herz

62 2012 Independent Director

Klaus Kleinfeld

58 2012 Independent Director

Judith Miscik

57 2014 Independent Director

Dennis Nally

63 2016 Independent Director

Donald Nicolaisen

71 2006 Independent Director

Hutham Olayan

62 2006 Independent Director

James Owens

69 2011 Independent Director

Perry Traquina

60 2015 Independent Director

Rayford Wilkins

64 2013 Independent Director

Biographies

Name Description

James Gorman

Mr. James P. Gorman is the Chairman of the Board, Chief Executive Officer of Morgan Stanley. Mr. Gorman was President and CEO from January 2010 through December 2011. He was Co-President from December 2007 to December 2009, Co-Head of Strategic Planning from October 2007 to December 2009 and President and Chief Operating Officer of Wealth Management at Morgan Stanley from February 2006 to April 2008. Mr. Gorman joined Merrill Lynch & Co., Inc. (Merrill Lynch) in 1999 and served in various positions including Chief Marketing Officer, Head of Corporate Acquisitions Strategy and Research in 2005 and President of the Global Private Client business from 2002 to 2005. Prior to joining Merrill Lynch, he was a senior partner at McKinsey & Co., serving in the firm’s financial services practice. Earlier in his career, Mr. Gorman was an attorney in Australia.He was President and CEO from January 2010 through December 2011. He was Co-President from December 2007 to December 2009, Co-Head of Strategic Planning from October 2007 to December 2009 and President and Chief Operating Officer of Wealth Management at Morgan Stanley from February 2006 to April 2008. Mr. Gorman joined Merrill Lynch & Co., Inc. (Merrill Lynch) in 1999 and served in various positions including Chief Marketing Officer, Head of Corporate Acquisitions Strategy and Research in 2005 and President of the Global Private Client business from 2002 to 2005. Prior to joining Merrill Lynch, he was a senior partner at McKinsey & Co., serving in the firm’s financial services practice. Earlier in his career, Mr. Gorman was an attorney in Australia.

Colm Kelleher

Mr. Colm Kelleher is President of Morgan Stanley. He was Executive Vice President (October 2007 to January 2016). President of Institutional Securities (January 2013 to January 2016). Head of International (January 2011 to January 2016). Co-President of Institutional Securities (January 2010 to December 2012). Chief Financial Officer and Co- Head of Strategic Planning (October 2007 to December 2009). Head of Global Capital Markets (February 2006 to October 2007). Co-Head of Fixed Income Europe (May 2004 to February 2006).

Jonathan Pruzan

Mr. Jonathan M. Pruzan is Chief Financial Officer, Executive Vice President of Morgan Stanley. He joined the as Chief Financial Officer of the Company. Jonathan Pruzan, currently Co-Head of the Global Financial Institutions Group in Investment Banking, will be appointed CFO upon Ruth’s departure. Jon joined Morgan Stanley in 1994 and has spent more than 20 years at the Firm working with financial institution clients. He understands the current regulatory environment, having shepherded clients through the Fed’s stress test and CCAR processes. He brings both great technical skill and proven leadership to this new role. Jon has served on the Morgan Stanley/MUFG steering committee since 2013 and will continue to do so. He will join the Firm’s Operating Committee and Management Committee.

James Rosenthal

Mr. James A. Rosenthal is no longer Executive Vice President, Chief Operating Officer of Morgan Stanley, with effect from 31 December 2016 (end of 2016). He was Head of Corporate Strategy (January 2010 to May 2011). Chief Operating Officer of Wealth Management (January 2010 to August 2011). Head of Firmwide Technology and Operations of Morgan Stanley (March 2008 to January 2010). Chief Financial Officer of Tishman Speyer (May 2006 to March 2008).

Jeffrey Brodsky

Mr. Jeffrey S. Brodsky is Executive Vice President, Chief Human Resources Officer of Morgan Stanley, since January 2016. He was Vice President and Global Head of Human Resources (January 2011 to December 2015). Co-Head of Human Resources (January 2010 to December 2011). Head of Morgan Stanley Smith Barney Human Resources (June 2009 to January 2010).

Keishi Hotsuki

Mr. Keishi Hotsuki is Executive Vice President, Chief Risk Officer of Morgan Stanley. He was Interim Chief Risk Officer (January 2011 to May 2011) and Head of Market Risk Department (March 2008 to April 2014). Director of Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. (since May 2010). Global Head of Market Risk Management at Merrill Lynch (June 2005 to September 2007).

Eric Grossman

Mr. Eric F. Grossman is the Executive Vice President, Chief Legal Officer of the Company. He was Global Head of Legal from September 2010 to January 2012. Global Head of Litigation (January 2006 to September 2010) and General Counsel of the Americas (May 2009 to September 2010). General Counsel of Wealth Management (November 2008 to September 2010). Partner at the law firm of Davis Polk & Wardwell LLP (June 2001 to December 2005).

Erskine Bowles

Mr. Erskine B. Bowles is the Lead Independent Director of Morgan Stanley. He is President Emeritus of the University of North Carolina and served as President from January 2006 through December 2010. He served as Co-Chair of the National Commission on Fiscal Responsibility and Reform during 2010. Mr. Bowles became a senior advisor at BDT Capital Partners LLC, a private investment firm, in 2012 and also serves as non-executive vice chairman. He has been a senior advisor since 2001 and was Managing Director from 1999 to 2001 of Carousel Capital, a private investment firm. He was also a partner at the private investment firm of Forstmann Little & Co. from 1999 to 2001 and was a founder of Kitty Hawk Capital, a venture capital firm. Mr. Bowles began his career in corporate finance at Morgan Stanley in 1969 and subsequently helped found and served as Chairman and Chief Executive Officer (CEO) of Bowles Hollowell Connor & Co., an investment banking firm. Mr. Bowles served as White House Chief of Staff from 1996 to 1998 and Deputy White House Chief of Staff from 1994 to 1995. He was head of the Small Business Administration from 1993 to 1994 and served as United Nations Under Secretary General, Deputy Special Envoy for Tsunami Recovery in 2005.

Nobuyuki Hirano

Mr. Nobuyuki Hirano is Director of Morgan Stanley. Mr. Hirano has served since 2009 as Managing Officer of MUFG, one of the world’s financial groups, and as Deputy President of The Bank of Tokyo-Mitsubishi UFJ, Ltd., the core commercial banking unit of MUFG. He served as Senior Managing Director from 2008 to 2009 and Managing Director from 2006 to 2008 of The Bank of Tokyo-Mitsubishi UFJ, Ltd. Mr. Hirano has held numerous senior-level positions in Japan and abroad with the financial group since joining The Mitsubishi Bank, Ltd. in 1974, including in the Corporate Planning Office and Corporate Banking Division of The Bank of Tokyo-Mitsubishi, Ltd.

Ryosuke Tamakoshi

Mr. Ryosuke Tamakoshi is Director of Morgan Stanley. Mr. Tamakoshi has served as a Senior Advisor of The Bank of Tokyo-Mitsubishi UFJ, Ltd. (BTMU) since June 2010. He served as Chairman of MUFG from October 2005 to June 2010 and as Deputy Chairman of BTMU from January 2006 to March 2008. Before the merger between the former Mitsubishi Tokyo Financial Group and UFJ Holdings, Mr. Tamakoshi was President and CEO of UFJ Holdings, Inc. and also Chairman of UFJ Bank, Ltd. Mr. Tamakoshi began his professional career at The Sanwa Bank, one of the legacy banks of BTMU, in 1970.

Alistair Darling

Mr. Alistair Darling is Independent Director of the Company, effective January 1, 2016. Mr. Darling is a former member of the British Parliament. He served in the government of the United Kingdom from 1997 to 2010 and was Chancellor of the Exchequer from 2007 to 2010. Mr. Darling entered the British Parliament in 1987 and served until 2015. He was the Secretary of State for Trade and Industry from 2006 to 2007, the Secretary of State for Transport from 2002 to 2006, the Secretary of State for Scotland from 2003 to 2006, the Secretary of State for Social Security / Work & Pensions from 1998 to 2002, and Chief Secretary to the Treasury from 1997 to 1998. Mr. Darling graduated with a Bachelor of Laws from the University of Aberdeen.

Thomas Glocer

Mr. Thomas H. Glocer is Independent Director of Morgan Stanley. Mr. Glocer served as CEO of Thomson Reuters Corporation, a news and information provider for businesses and professionals, from April 2008 through December 2011 and as CEO of Reuters Group PLC from July 2001 to April 2008. He joined Reuters Group PLC in 1993 and served in a variety of executive roles before being named CEO. He was a mergers and acquisitions lawyer at the law firm of Davis Polk & Wardwell LLP from 1984 to 1993.

Robert Herz

Mr. Robert H. Herz is Independent Director of Morgan Stanley. Mr. Herz has served as President of Robert H. Herz LLC, providing consulting services on financial reporting and other matters, since September 2010. He served as Chairman of the Financial Accounting Standards Board from July 2002 to September 2010 and as a part-time member of the International Accounting Standards Board from January 2001 to June 2002. Mr. Herz has served on the Accounting Standards Oversight Council of Canada since 2011 and as a member of the Standing Advisory Group of the Public Company Accounting Oversight Board since 2012. Mr. Herz served as a partner in PricewaterhouseCoopers, an accounting firm, from 1985 to 2002.

Klaus Kleinfeld

Mr. Klaus C. Kleinfeld is Independent Director of Morgan Stanley. Mr. Kleinfeld has served as Chairman and CEO of Alcoa Inc. (Alcoa), the world’s leading producer of primary aluminum and fabricated aluminum, since April 2010. He served as President and CEO of Alcoa from 2008 to 2010 and President and Chief Operating Officer of Alcoa from 2007 to 2008. He has served on the Board of Alcoa since 2003. Mr. Kleinfeld served for 20 years at Siemens AG from 1987 to 2007, including as CEO and President from 2005 to 2007, as a member of the Managing Board from 2004 to 2007, and as President and CEO from 2002 to 2004 and Executive Vice President and Chief Operating Officer in 2001 of Siemens AG’s principal U.S. subsidiary, Siemens Corporation.

Judith Miscik

Ms. Jami Miscik is Independent Director of Morgan Stanley. Ms. Miscik has served as President and Vice Chairman of Kissinger Associates, Inc., a New York-based strategic international consulting firm that assesses and navigates emerging market geopolitical and macroeconomic risks for its clients, since 2009. She served as the global head of sovereign risk at Lehman Brothers from 2005 to 2008. Ms. Miscik served at the Central Intelligence Agency from 1983 to 2005, including as Deputy Director for Intelligence from 2002 to 2005. She is a member of the President’s Intelligence Advisory Board and has served as a Senior Advisor for Geopolitical Risk at Barclays Capital.

Dennis Nally

Mr. Dennis M. Nally has been appointed as Independent Director of the Company, effective October 1, 2016. Mr. Nally is the former Chairman of PricewaterhouseCoopers International Ltd. Prior to that, he was the Chairman and Senior Partner of the U.S. firm of PricewaterhouseCoopers LLP. Mr. Nally joined the Detroit office of PricewaterhouseCoopers in 1974 and became a partner in 1985. He served in numerous leadership positions within the U.S. firm, including National Director of Strategic Planning, Audit and Business Advisory Services Leader, and Managing Partner. He is a member of the American Institute of Certified Public Accountants and the New York State Society of CPAs. He is a member of the Duke Kunshan University Advisory Board, The Carnegie Hall Society Board of Trustees, and The Business Roundtable. He also serves as Vice Chair and Board member of the U.S. Council for International Business. Mr. Nally is a graduate of Western Michigan University, and also completed the Columbia University and Penn State University Executive Programs.

Donald Nicolaisen

Mr. Donald T. Nicolaisen is Independent Director of Morgan Stanley. Mr. Nicolaisen was Chief Accountant for the U.S. Securities and Exchange Commission (SEC) from 2003 to 2005, where he served as the principal advisor to the SEC on accounting and auditing matters and was responsible for formulating and administering the accounting program and policies of the SEC. He was a partner of PricewaterhouseCoopers, an accounting firm, from 1978 to 2003 and first joined Price Waterhouse in 1967. Mr. Nicolaisen led Price Waterhouse’s national office for accounting and SEC services and its financial services practice and was responsible for auditing and providing risk management advice to large, complex multinational corporations.

Hutham Olayan

Ms. Hutham S. Olayan is Independent Director of Morgan Stanley. Ms. Olayan has been a principal and director since 1981 of The Olayan Group, a private multinational enterprise that is a diversified global investor and operator of commercial and industrial businesses in Saudi Arabia. She has been President and CEO of The Olayan Group’s U.S. operations for more than 25 years, overseeing all investment activity in the Americas. Ms. Olayan is a member of the Executive Advisory Board of General Atlantic and a former director of Thermo Electron Corporation.

James Owens

Mr. James W. Owens is Independent Director of Morgan Stanley. Mr. Owens served as Chairman and CEO of Caterpillar Inc. (Caterpillar), a manufacturer of construction and mining equipment, diesel and natural gas engines and industrial gas turbines, from 2004 to 2010. He served as Vice Chairman of Caterpillar from 2003 to 2004 and as Group President from 1995 to 2003, responsible at various times for 13 of the company’s 25 divisions. Mr. Owens served at Caterpillar as Vice President and Chief Financial Officer from 1993 to 1995, Corporate Vice President and President of Solar Turbines Incorporated from 1990 to 1993, and managing director of P.T. Natra Raya, Caterpillar’s Indonesian joint venture, from 1987 to 1990. He held various managerial positions in the Accounting and Product Source Planning Departments from 1980 to 1987 and was chief economist of Caterpillar Overseas S.A. in Geneva, Switzerland, from 1975 to 1980. He joined Caterpillar in 1972 as a corporate economist. Mr. Owens served on the President’s Economic Recovery Advisory Board from 2009 to 2011. He is a senior advisor at Kohlberg Kravis Roberts & Co.

Perry Traquina

Mr. Perry M. Traquina is Independent Director of the Company. He was Chairman, CEO and Managing Partner of Wellington Management Company LLP (Wellington), a global, multi-asset investment management firm, serving from 2004 through June 2014 as CEO and Managing Partner and from 2004 through December 2014 as Chairman. Mr. Traquina was also the Partner, Senior Vice President and Director of Global Research at Wellington from 1998 to 2002 and President from 2002 to 2004. He Joined Wellington in 1980 and served in a number of executive roles before being named Chairman, CEO and Managing Partner.

Rayford Wilkins

Mr. Rayford Wilkins, Jr., is Independent Director of Morgan Stanley. Mr. Wilkins served from October 2008 to March 2012 as CEO of Diversified Businesses of AT&T Inc. (AT&T), the telecommunications company, responsible for international investments, AT&T Interactive, AT&T Advertising Solutions and Customer Information Services. During his career, he served in numerous other management roles at AT&T, including as Group President, Group President of SBC Marketing and Sales, and President and CEO of Pacific Bell Telephone Company and Nevada Bell Telephone Company. Mr. Wilkins began his career at Southwestern Bell Telephone in 1974.