• 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.
JIM GARY STEPHENSON
JAMES GARY STEPHENSON
CRD#: 1471634
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 216 Lorton Avenue
Suite 200
Burlingame, CA 94010
Registration History
199019952000200520102015202020252 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1995 - 2008 (13 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1986 - 1995 (8 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - 2008 (11 years)
License(s)

State Registrations

B
Arizona 6/1/2009

B
Nevada 6/1/2009

B
California 6/1/2009

B
New Hampshire 10/11/2023

IA
California 6/1/2009

B
New Jersey 3/3/2015

B
Colorado 6/1/2009

B
New Mexico 6/1/2009

B
Connecticut 1/2/2020

B
New York 6/1/2009

B
District of Columbia 3/10/2014

B
North Carolina 6/1/2009

B
Florida 6/1/2009

B
North Dakota 1/11/2021

B
Georgia 12/2/2011

B
Ohio 6/1/2009

B
Idaho 4/24/2014

B
Oregon 6/1/2009

B
Illinois 6/6/2014

B
Pennsylvania 7/20/2021

B
Indiana 6/1/2009

B
Tennessee 8/16/2011

B
Iowa 11/8/2017

B
Texas 6/1/2009

B
Louisiana 9/14/2015

IA
Texas 9/16/2011

B
Maine 2/22/2022

B
Utah 11/3/2021

B
Maryland 6/1/2009

B
Vermont 9/22/2023

B
Massachusetts 9/13/2018

B
Washington 4/15/2010

B
Minnesota 9/30/2009

B
Wisconsin 6/1/2009

B
Missouri 8/25/2021

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)
216 Lorton Avenue Suite 200, Burlingame, CA 94010
Registered with this firm since 6/1/2009

B
MORGAN STANLEY (CRD#:149777)
216 Lorton Avenue Suite 200, Burlingame, CA 94010
Registered with this firm since 6/1/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/25/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BURLINGAME, CA
B
08/22/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BURLINGAME, CA
IA
07/08/1997 - 09/08/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN MATEO, CA
B
01/28/1995 - 09/08/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN MATEO, CA
B
04/23/1986 - 01/28/1995 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
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.