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Detailed Report
ALEXANDER BARCLAY
ALEX BARCLAY, ALEXANDER D BARCLAY, ALEXANDER D. BARCLAY, ALEXANDER DOUGLAS BARCLAY
CRD#: 1792381
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 200 Public Square
Suite 2600
Cleveland, OH 44114
Registration History
199019952000200520102015202020252 FIRMS2004 - 2007 (2 years)2 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2017 (8 years)2 FIRMS2017 - Present (7 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2004 (11 years)BLEHMAN BROTHERS INC. (CRD# 7506)1992 - 1993 (<1 year)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1988 - 1992 (4 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1999 - 2004 (5 years)
Disclosure(s)
View By:
3/9/2006
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 8/25/2017
B
Nevada 11/8/2023
B
California 8/25/2017
B
New Mexico 1/31/2018
B
Colorado 1/31/2018
B
New York 8/25/2017
B
Connecticut 2/9/2022
B
North Carolina 8/25/2017
B
District of Columbia 8/25/2017
B
Ohio 8/25/2017
B
Florida 8/25/2017
IA
Ohio 8/25/2017
B
Georgia 8/25/2017
B
Oregon 1/31/2018
B
Illinois 8/25/2017
B
Pennsylvania 8/25/2017
B
Indiana 1/31/2018
B
South Carolina 1/31/2018
B
Kansas 2/7/2025
B
Tennessee 3/31/2022
B
Kentucky 12/5/2017
B
Texas 1/31/2018
B
Maine 2/9/2022
IA
Texas 3/19/2020
B
Maryland 2/9/2022
B
Virginia 3/13/2018
B
Massachusetts 2/9/2022
B
Washington 1/31/2018
B
Michigan 8/25/2017
B
West Virginia 9/10/2018
B
Minnesota 2/17/2023
B
Wisconsin 1/31/2018
B
Missouri 2/9/2022

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)
200 Public Square Suite 2600, Cleveland, OH 44114
Registered with this firm since 8/25/2017
B
MORGAN STANLEY (CRD#:149777)
200 Public Square Suite 2600, Cleveland, OH 44114
Registered with this firm since 8/25/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/16/2009 - 09/15/2017 UBS FINANCIAL SERVICES INC. (CRD#:8174) ROCKY RIVER, OH
B
 03/16/2009 - 09/15/2017 UBS FINANCIAL SERVICES INC. (CRD#:8174) ROCKY RIVER, OH
IA
 04/02/2007 - 03/20/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CLEVELAND, OH
B
 04/02/2007 - 03/20/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CLEVELAND, OH
IA
 10/26/2004 - 04/02/2007 MORGAN STANLEY (CRD#:7556) CLEVELAND, OH
B
 10/22/2004 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) CLEVELAND, OH
IA
 04/20/1999 - 11/01/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CLEVELAND, OH
B
 07/31/1993 - 11/01/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 12/11/1992 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 01/20/1988 - 12/14/1992 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) 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.