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Detailed Report
SHASHI BHAGAT
CRD#: 2439348
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Fremont, CA
Registration History
19952000200520102015202020252 FIRMS2001 - 2007 (6 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1997 - 2001 (3 years)BEVEREN SECURITIES, INC. (CRD# 19616)1995 - 1997 (1 year)
License(s)

State Registrations

B
Alabama 3/21/2024
B
Nebraska 3/21/2024
B
Alaska 3/21/2024
B
Nevada 1/18/2021
B
Arizona 6/9/2020
B
New Hampshire 12/16/2020
B
Arkansas 12/16/2020
B
New Jersey 12/16/2020
B
California 6/1/2009
B
New Mexico 3/1/2024
IA
California 6/1/2009
B
New York 4/16/2018
B
Colorado 1/7/2021
B
North Carolina 3/21/2024
B
Connecticut 1/7/2021
B
North Dakota 3/21/2024
B
Delaware 3/1/2024
B
Ohio 3/4/2024
B
District of Columbia 8/1/2019
B
Oklahoma 3/21/2024
B
Florida 6/1/2009
B
Oregon 3/20/2024
B
Georgia 12/16/2020
B
Pennsylvania 1/18/2021
B
Hawaii 12/16/2020
B
Puerto Rico 3/21/2024
B
Idaho 3/1/2024
B
Rhode Island 3/1/2024
B
Illinois 12/16/2020
B
South Carolina 3/1/2024
B
Indiana 12/16/2020
B
South Dakota 2/23/2024
B
Iowa 3/21/2024
B
Tennessee 5/20/2021
B
Kansas 3/1/2024
B
Texas 2/11/2014
B
Kentucky 2/23/2024
IA
Texas 2/24/2020
B
Louisiana 3/21/2024
B
Utah 1/18/2021
B
Maine 12/16/2020
B
Vermont 3/1/2024
B
Maryland 12/16/2020
B
Virgin Islands 3/21/2024
B
Massachusetts 1/7/2021
B
Virginia 3/1/2024
B
Michigan 12/16/2020
B
Washington 1/20/2018
B
Minnesota 12/16/2020
B
West Virginia 3/21/2024
B
Mississippi 3/21/2024
B
Wisconsin 3/21/2024
B
Missouri 3/1/2024
B
Wyoming 3/21/2024
B
Montana 3/1/2024

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)
Fremont, CA
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
Fremont, CA
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN JOSE, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN JOSE, CA
IA
 03/09/2001 - 04/02/2007 MORGAN STANLEY (CRD#:7556) SAN JOSE, CA
B
 02/12/2001 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) SAN JOSE, CA
B
 03/14/1997 - 01/31/2001 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
 05/31/1995 - 03/17/1997 EVEREN SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
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.