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Detailed Report
STEVEN JAMES HARVEY
CRD#: 2403546
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 3 Edison Drive
Alpharetta, GA 30005
Registration History
19952000200520102015202020252 FIRMS2006 - 2007 (<1 year)2 FIRMS2023 - Present (1 year)BE*TRADE SECURITIES LLC (CRD# 29106)2009 - 2023 (14 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1994 - 1994 (<1 year)IAE*TRADE CAPITAL MANAGEMENT, LLC (CRD# 42159)2013 - 2023 (10 years)
License(s)

State Registrations

B
Alabama 3/17/2023
B
Nebraska 3/17/2023
B
Alaska 9/5/2023
B
Nevada 9/5/2023
B
Arizona 3/17/2023
B
New Hampshire 3/17/2023
B
Arkansas 3/17/2023
B
New Jersey 3/17/2023
B
California 3/17/2023
B
New Mexico 3/17/2023
B
Colorado 3/17/2023
B
New York 3/17/2023
B
Connecticut 3/17/2023
B
North Carolina 9/5/2023
B
Delaware 3/17/2023
B
North Dakota 3/17/2023
B
District of Columbia 3/17/2023
B
Ohio 3/17/2023
B
Florida 3/17/2023
B
Oklahoma 3/17/2023
B
Georgia 3/17/2023
B
Oregon 9/5/2023
IA
Georgia 9/5/2023
B
Pennsylvania 9/5/2023
B
Hawaii 3/17/2023
B
Puerto Rico 3/17/2023
B
Idaho 3/17/2023
B
Rhode Island 3/17/2023
B
Illinois 3/17/2023
B
South Carolina 3/17/2023
B
Indiana 3/17/2023
B
South Dakota 3/17/2023
B
Iowa 3/17/2023
B
Tennessee 3/17/2023
B
Kansas 3/17/2023
B
Texas 3/17/2023
B
Kentucky 3/17/2023
IA
Texas 10/2/2023
B
Louisiana 3/17/2023
B
Utah 3/29/2023
B
Maine 3/17/2023
B
Vermont 3/17/2023
B
Maryland 3/17/2023
B
Virgin Islands 3/17/2023
B
Massachusetts 7/5/2023
B
Virginia 9/5/2023
B
Michigan 3/17/2023
B
Washington 3/17/2023
B
Minnesota 3/17/2023
B
West Virginia 9/5/2023
B
Mississippi 3/17/2023
B
Wisconsin 3/17/2023
B
Missouri 3/17/2023
B
Wyoming 3/17/2023
B
Montana 3/17/2023

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)
3 Edison Drive, Alpharetta, GA 30005
Registered with this firm since 9/5/2023
B
MORGAN STANLEY (CRD#:149777)
3 Edison Drive, Alpharetta, GA 30005
Registered with this firm since 3/17/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/14/2013 - 09/05/2023 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) Alpharetta, GA
B
 07/08/2009 - 09/05/2023 E*TRADE SECURITIES LLC (CRD#:29106) ALPHARETTA, GA
IA
 11/22/2006 - 10/09/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) BEVERLY HILLS, CA
B
 11/08/2006 - 10/09/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) BEVERLY HILLS, CA
B
 07/06/1994 - 10/28/1994 SUNAMERICA SECURITIES, INC. (CRD#:20068)
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.