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Detailed Report
SAM JAMES LOPRESTI
SAM J LOPRESTI JR, SAM JAMES LOPRESTI JR, SAM J LOPRESTI JR JR, SAM JAMES LOPRESTI JR, SAM J LOPRESTI JR. JR
CRD#: 1486205
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
199820002002200420062008201020122014201620182020202220242026IAMORGAN STANLEY (CRD# 149777)2015 - Present (9 years)BMORGAN STANLEY (CRD# 149777)2012 - Present (12 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2011 - 2011 (<1 year)BMORGAN STANLEY SMITH BARNEY (CRD# 149777)2009 - 2009 (<1 year)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)1997 - 2007 (9 years)
License(s)

State Registrations

B
Alaska 3/26/2024
B
Montana 2/27/2020
B
Arizona 5/20/2021
B
Nebraska 3/26/2024
B
Arkansas 3/15/2019
B
Nevada 3/15/2019
B
California 7/4/2012
B
New Jersey 4/23/2021
IA
California 8/27/2015
B
New Mexico 3/15/2019
B
Colorado 2/27/2020
B
New York 4/23/2021
B
Connecticut 4/23/2021
B
North Carolina 3/15/2019
B
Delaware 4/23/2021
B
North Dakota 3/15/2019
B
District of Columbia 4/23/2021
B
Ohio 3/27/2024
B
Florida 3/15/2019
B
Oklahoma 3/26/2024
B
Georgia 3/15/2019
B
Oregon 4/23/2021
B
Hawaii 5/28/2021
B
Pennsylvania 4/23/2021
B
Idaho 4/23/2021
B
Rhode Island 3/15/2019
B
Illinois 12/5/2014
B
South Carolina 3/15/2019
B
Indiana 3/15/2019
B
South Dakota 3/26/2024
B
Kansas 4/3/2023
B
Tennessee 12/5/2014
B
Kentucky 3/26/2024
B
Texas 5/25/2017
B
Maine 4/23/2021
IA
Texas 3/11/2020
B
Maryland 4/23/2021
B
Utah 3/15/2019
B
Massachusetts 3/11/2019
B
Virginia 4/23/2021
B
Michigan 4/23/2021
B
Washington 3/15/2019
B
Minnesota 3/15/2019
B
West Virginia 4/23/2021
B
Mississippi 3/26/2024
B
Wisconsin 3/15/2019
B
Missouri 4/23/2021
B
Wyoming 11/12/2021

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)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 8/27/2015
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 7/4/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/26/2011 - 10/10/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) WOODLAND HILLS, CA
B
 06/01/2009 - 12/02/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) VALENCIA, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) VALENCIA, CA
B
 11/28/1997 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) IRVINE, CA
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.