Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Sean Ward Farrell
SEAN WARD FARRELL, SEAN FARRELL
CRD#: 1270847
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 100 North Tampa Street
Suite 3000
Tampa, FL 33602
Registration History
1985199019952000200520102015202020252 FIRMS2000 - 2003 (3 years)2 FIRMS2003 - 2004 (<1 year)2 FIRMS2006 - 2016 (10 years)2 FIRMS2016 - 2017 (<1 year)2 FIRMS2017 - Present (7 years)BADVEST, INC. (CRD# 10)2004 - 2006 (1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1999 - 2000 (1 year)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1984 - 1989 (5 years)IAADVEST, INC. (CRD# 10)2005 - 2006 (<1 year)
License(s)

State Registrations

B
Alabama 6/26/2018
B
Montana 6/26/2018
B
Alaska 6/26/2018
B
Nebraska 6/26/2018
B
Arizona 6/26/2018
B
Nevada 6/26/2018
B
Arkansas 6/26/2018
B
New Hampshire 6/26/2018
B
California 6/26/2018
B
New Jersey 6/26/2018
B
Colorado 6/26/2018
B
New Mexico 6/26/2018
B
Connecticut 6/26/2018
B
New York 9/12/2017
B
Delaware 7/28/2017
B
North Carolina 6/26/2018
IA
Delaware 8/1/2017
B
North Dakota 6/26/2018
B
District of Columbia 6/26/2018
B
Ohio 6/27/2018
B
Florida 9/12/2017
B
Oklahoma 6/26/2018
IA
Florida 10/29/2020
B
Oregon 6/26/2018
B
Georgia 6/26/2018
B
Pennsylvania 6/26/2018
B
Hawaii 6/26/2018
B
Puerto Rico 6/26/2018
B
Idaho 6/26/2018
B
Rhode Island 6/26/2018
B
Illinois 6/26/2018
B
South Carolina 6/26/2018
B
Indiana 6/26/2018
B
South Dakota 6/26/2018
B
Iowa 6/26/2018
B
Tennessee 6/26/2018
B
Kansas 6/26/2018
B
Texas 6/26/2018
B
Kentucky 6/26/2018
IA
Texas 4/8/2020
B
Louisiana 6/26/2018
B
Utah 6/26/2018
B
Maine 6/26/2018
B
Vermont 6/26/2018
B
Maryland 6/26/2018
B
Virgin Islands 6/26/2018
B
Massachusetts 6/26/2018
B
Virginia 6/26/2018
B
Michigan 6/26/2018
B
Washington 6/26/2018
B
Minnesota 6/26/2018
B
West Virginia 6/26/2018
B
Mississippi 6/26/2018
B
Wisconsin 6/26/2018
B
Missouri 6/26/2018
B
Wyoming 6/26/2018

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

Learn about permitted activities of registered representatives

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)
100 North Tampa Street Suite 3000, Tampa, FL 33602
Registered with this firm since 8/1/2017
B
MORGAN STANLEY (CRD#:149777)
100 North Tampa Street Suite 3000, Tampa, FL 33602
Registered with this firm since 7/28/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/27/2016 - 07/12/2017 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) Westhampton Beach, NY
B
 09/27/2016 - 07/12/2017 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) MINNEAPOLIS, MN
IA
 02/15/2006 - 04/18/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TAMPA, FL
B
 02/15/2006 - 04/18/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TAMPA, FL
IA
 07/14/2005 - 02/15/2006 ADVEST, INC. (CRD#:10) WASHINGTON, DC
B
 06/08/2004 - 02/15/2006 ADVEST, INC. (CRD#:10) HARTFORD, CT
IA
 07/01/2003 - 06/02/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) MELVILLE, NY
B
 07/01/2003 - 06/02/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
 05/11/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) MELVILLE, NY
B
 05/11/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 03/24/1999 - 05/10/2000 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 05/22/1984 - 11/16/1989 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471) NEW YORK, NY
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.