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DAWN HARTMAN FARRELL
DAWN HARTMAN, DAWN ARLENE PETERSEN, DAWN ARLENE HARTMAN PETERSEN
CRD#: 1374106
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 400 Capitol Mall
Suite 1900
Sacramento, CA 95814
Registration History
1985199019952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BMORGAN STANLEY DW INC. (CRD# 7556)1985 - 2007 (21 years)IAMORGAN STANLEY (CRD# 7556)1998 - 2007 (8 years)
License(s)

State Registrations

B
Alabama 1/13/2022

B
Nevada 6/1/2009

B
Alaska 12/10/2020

B
New Jersey 12/19/2019

B
Arizona 1/22/2014

B
New Mexico 1/5/2022

B
Arkansas 1/3/2020

B
New York 2/20/2019

B
California 6/1/2009

B
North Carolina 12/10/2020

IA
California 6/1/2009

B
Ohio 9/15/2014

B
Colorado 12/10/2018

B
Oklahoma 1/3/2020

B
Delaware 2/26/2021

B
Oregon 5/21/2014

B
District of Columbia 6/1/2009

B
Pennsylvania 6/1/2009

B
Florida 6/1/2009

B
Rhode Island 1/3/2020

B
Georgia 12/10/2018

B
South Carolina 6/11/2020

B
Hawaii 1/3/2020

B
South Dakota 1/3/2020

B
Idaho 6/1/2009

B
Tennessee 1/27/2020

B
Illinois 2/8/2022

B
Texas 8/9/2016

B
Louisiana 1/3/2020

IA
Texas 12/11/2018

B
Maine 5/18/2017

B
Utah 1/3/2020

B
Maryland 6/1/2009

B
Vermont 2/24/2016

B
Massachusetts 1/3/2020

B
Virginia 4/15/2014

B
Minnesota 5/17/2022

B
Washington 6/1/2009

B
Mississippi 2/26/2021

B
West Virginia 6/22/2023

B
Montana 6/1/2009

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)
400 Capitol Mall Suite 1900, Sacramento, CA 95814
Registered with this firm since 6/1/2009

B
MORGAN STANLEY (CRD#:149777)
400 Capitol Mall Suite 1900, Sacramento, CA 95814
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) SACRAMENTO, CA
B
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SACRAMENTO, CA
IA
11/02/1998 - 04/02/2007 MORGAN STANLEY (CRD#:7556) SACRAMENTO, CA
B
07/24/1985 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) SACRAMENTO, CA
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B
Broker
IA
Investment Adviser
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.