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Detailed Report
BRIAN L ASHER
BRIAN LEE ASHER
CRD#: 1266091
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Sausalito, CA
Registration History
1985199019952000200520102015202020252 FIRMS1999 - 2007 (7 years)2 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1989 - 1999 (9 years)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)1987 - 1989 (2 years)BSHEARSON LEHMAN BROTHERS INC. (CRD# 7506)1984 - 1986 (1 year)
License(s)

State Registrations

B
Arizona 6/1/2009
B
Nevada 8/12/2016
B
California 6/1/2009
B
New Jersey 6/1/2009
IA
California 6/1/2009
B
New York 10/8/2020
B
Colorado 10/26/2022
B
North Carolina 5/8/2024
B
Connecticut 12/8/2016
B
Ohio 12/2/2020
B
Florida 6/1/2009
B
Oregon 6/1/2009
B
Georgia 7/17/2024
B
Pennsylvania 5/10/2010
B
Hawaii 6/1/2009
B
Tennessee 6/9/2020
B
Kansas 10/14/2024
B
Texas 6/1/2009
B
Massachusetts 6/6/2017
IA
Texas 6/1/2009
B
Minnesota 9/29/2011
B
Virginia 6/1/2009
B
Mississippi 5/21/2020
B
Washington 9/20/2018
B
Missouri 3/22/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
Sausalito, CA
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
Sausalito, CA
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LONG BEACH, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LONG BEACH, CA
IA
 01/05/2007 - 04/02/2007 MORGAN STANLEY (CRD#:7556) TORRANCE, CA
B
 01/05/2007 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) TORRANCE, CA
IA
 09/16/1999 - 01/18/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LONG BEACH, CA
B
 08/17/1999 - 01/18/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LONG BEACH, CA
B
 12/11/1989 - 08/27/1999 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 09/30/1987 - 12/15/1989 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) EL SEGUNDO, CA
B
 12/21/1984 - 11/12/1986 SHEARSON LEHMAN BROTHERS INC. (CRD#:7506)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.