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Detailed Report
DONALD HENRY ESPENAN
CRD#: 1697393
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1100 Poydras Street
Suite 1900
New Orleans, LA 70163
Registration History
19901995200020052010201520202025IAMORGAN STANLEY (CRD# 149777)2010 - Present (14 years)BMORGAN STANLEY (CRD# 149777)2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1989 - 1993 (3 years)
Disclosure(s)
View By:
11/5/2010
Customer Dispute
Settled
1/9/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 6/1/2009
B
Missouri 6/1/2009
B
California 2/2/2022
B
Nevada 4/25/2023
B
Colorado 6/1/2009
B
New Jersey 7/7/2011
B
Delaware 6/1/2009
B
New York 6/1/2009
B
District of Columbia 4/26/2023
B
North Carolina 1/25/2023
B
Florida 6/1/2009
B
Oklahoma 6/1/2009
B
Georgia 6/1/2009
B
Oregon 10/28/2019
B
Hawaii 9/16/2024
B
South Carolina 6/1/2009
B
Indiana 6/26/2024
B
Tennessee 6/1/2009
B
Iowa 6/26/2024
B
Texas 6/1/2009
B
Kentucky 6/1/2009
IA
Texas 4/8/2020
B
Louisiana 6/1/2009
B
Utah 3/4/2025
IA
Louisiana 11/18/2010
B
Vermont 12/2/2024
B
Michigan 4/24/2023
B
Virginia 6/1/2009
B
Minnesota 8/20/2024
B
Washington 11/21/2024
B
Mississippi 6/1/2009
B
West Virginia 2/19/2025

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)
1100 Poydras Street Suite 1900, New Orleans, LA 70163
Registered with this firm since 11/18/2010
B
MORGAN STANLEY (CRD#:149777)
1100 Poydras Street Suite 1900, New Orleans, LA 70163
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW ORLEANS, LA
B
 11/28/1989 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) 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.