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Detailed Report
LEE ANN YATES
LEE ANN YATES
CRD#: 2228964
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 3280 Peachtree Road Northeast
Suite 1900
Atlanta, GA 30305
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2004 (<1 year)IAMORGAN STANLEY (CRD# 149777)2012 - Present (12 years)BMORGAN STANLEY (CRD# 149777)2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2009 (2 years)BDEUTSCHE BANK SECURITIES INC. (CRD# 2525)2003 - 2004 (<1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2000 - 2003 (2 years)BCIBC WORLD MARKETS CORP. (CRD# 630)2000 - 2000 (<1 year)BJ.C. BRADFORD & CO. (CRD# 1287)1995 - 2000 (4 years)IAMORGAN STANLEY (CRD# 7556)2003 - 2003 (<1 year)
License(s)

State Registrations

B
Alabama 5/8/2012
B
Mississippi 5/8/2012
B
Alaska 6/12/2024
B
Missouri 8/14/2014
B
Arizona 5/18/2015
B
Nebraska 5/7/2019
B
Arkansas 3/18/2016
B
Nevada 5/8/2012
B
California 5/8/2012
B
New Hampshire 1/8/2019
B
Colorado 8/15/2014
B
New Jersey 5/8/2012
B
Connecticut 5/8/2012
B
New York 6/1/2009
B
Delaware 5/18/2015
B
North Carolina 5/8/2012
B
District of Columbia 5/18/2015
B
Ohio 5/19/2015
B
Florida 5/8/2012
B
Oklahoma 5/7/2019
B
Georgia 5/7/2012
B
Oregon 5/18/2015
IA
Georgia 11/15/2012
B
Pennsylvania 5/18/2015
B
Hawaii 7/31/2019
B
South Carolina 5/8/2012
B
Idaho 3/24/2016
B
South Dakota 5/7/2019
B
Illinois 8/15/2014
B
Tennessee 5/8/2012
B
Indiana 5/18/2015
B
Texas 5/8/2012
B
Iowa 5/18/2015
IA
Texas 3/19/2020
B
Kansas 5/18/2015
B
Utah 6/6/2022
B
Kentucky 5/18/2015
B
Vermont 5/7/2019
B
Louisiana 5/8/2012
B
Virginia 5/8/2012
B
Maryland 5/8/2012
B
Washington 8/15/2014
B
Massachusetts 8/15/2014
B
West Virginia 5/7/2019
B
Michigan 5/18/2015
B
Wisconsin 3/1/2016
B
Minnesota 8/15/2014

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)
3280 Peachtree Road Northeast Suite 1900, Atlanta, GA 30305
Registered with this firm since 11/15/2012
B
MORGAN STANLEY (CRD#:149777)
3280 Peachtree Road Northeast Suite 1900, Atlanta, GA 30305
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/01/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
IA
 05/07/2004 - 07/06/2004 LEHMAN BROTHERS INC. (CRD#:7506) ATLANTA, GA
B
 04/27/2004 - 07/06/2004 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 09/03/2003 - 02/19/2004 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) NEW YORK, NY
IA
 03/27/2003 - 08/25/2003 MORGAN STANLEY (CRD#:7556) ATLANTA, GA
B
 11/27/2000 - 08/25/2003 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 05/24/2000 - 07/14/2000 CIBC WORLD MARKETS CORP. (CRD#:630) NEW YORK, NY
B
 10/03/1995 - 05/26/2000 J.C. BRADFORD & CO. (CRD#:1287) 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.