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
GARY RICHARD WARD
CRD#: 1402382
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 24 Waterway Avenue
Suite 600
The Woodlands, TX 77380
Registration History
1985199019952000200520102015202020252 FIRMS2001 - 2009 (8 years)2 FIRMS2009 - Present (15 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1985 - 2001 (15 years)
License(s)

State Registrations

B
Arizona 4/5/2023
B
New Hampshire 10/25/2011
B
California 6/1/2009
B
New Mexico 12/12/2024
B
Colorado 6/1/2009
B
New York 9/16/2021
B
Florida 6/1/2009
B
North Carolina 12/7/2023
B
Georgia 1/31/2024
B
Ohio 10/5/2023
B
Illinois 5/30/2018
B
Oklahoma 1/9/2024
B
Indiana 1/9/2024
B
Oregon 6/1/2009
B
Louisiana 6/1/2009
B
Pennsylvania 2/20/2025
B
Maryland 11/8/2021
B
South Carolina 9/26/2022
B
Massachusetts 8/3/2023
B
Tennessee 9/12/2024
B
Michigan 6/1/2009
B
Texas 6/1/2009
B
Minnesota 8/22/2024
IA
Texas 6/1/2009
B
Montana 8/4/2017
B
Virginia 6/1/2009
B
Nevada 1/7/2025
B
Washington 1/3/2018

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)
24 Waterway Avenue Suite 600, The Woodlands, TX 77380
Magnolia, TX
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
24 Waterway Avenue Suite 600, The Woodlands, TX 77380
Magnolia, TX
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2001 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) THE WOODLANDS, TX
B
 04/02/2001 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) THE WOODLANDS, TX
B
 09/24/1985 - 04/03/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) 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.