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Detailed Report
THOMAS MICHAEL KLIPPSTEIN
CRD#: 2184005
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 130 Kercheval Avenue
Grosse Pointe Farms, MI 48236
Registration History
19952000200520102015202020252 FIRMS2009 - Present (15 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)2005 - 2007 (2 years)BMCDONALD INVESTMENTS INC. (CRD# 566)2003 - 2005 (1 year)BMCDONALD INVESTMENTS INC. (CRD# 566)1995 - 2003 (7 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1994 - 1995 (1 year)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1991 - 1994 (2 years)
License(s)

State Registrations

B
Alabama 6/1/2009
B
Missouri 3/11/2021
B
Arizona 6/1/2009
B
Nevada 10/8/2021
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 6/1/2009
B
New Mexico 3/11/2021
B
Connecticut 9/9/2013
B
New York 1/15/2010
B
District of Columbia 3/26/2013
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Idaho 2/18/2021
B
South Carolina 3/17/2015
B
Illinois 6/1/2009
B
Tennessee 11/13/2017
B
Indiana 6/1/2009
B
Texas 11/23/2009
B
Maryland 6/1/2009
IA
Texas 12/15/2009
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
Michigan 6/1/2009
B
Washington 6/1/2009
IA
Michigan 5/20/2010
B
Wisconsin 5/28/2024
B
Minnesota 1/9/2025

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)
130 Kercheval Avenue, Grosse Pointe Farms, MI 48236
Registered with this firm since 12/15/2009
B
MORGAN STANLEY (CRD#:149777)
130 Kercheval Avenue, Grosse Pointe Farms, MI 48236
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) GROSSE POINTE FARMS, MI
B
 02/18/2005 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) GROSSEPOINTE FARMS, MI
B
 07/22/2003 - 03/01/2005 MCDONALD INVESTMENTS INC. (CRD#:566) CLEVELAND, OH
B
 09/05/1995 - 07/02/2003 MCDONALD INVESTMENTS INC. (CRD#:566) CLEVELAND, OH
B
 05/16/1994 - 09/22/1995 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 10/17/1991 - 05/17/1994 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
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.