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Detailed Report
DEREK JOHN LEONARD
DEREK J LEONARD
CRD#: 2768652
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 4000 Carillon Point
Suite 600
Kirkland, WA 98033
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1996 - 1996 (<1 year)2 FIRMS2014 - 2017 (2 years)2 FIRMS2017 - Present (7 years)BRUSSELL IMPLEMENTATION SERVICE... (CRD# 329)2004 - 2008 (3 years)
License(s)

State Registrations

B
Alaska 6/3/2024
B
Pennsylvania 10/25/2021
B
Arizona 11/1/2019
B
Puerto Rico 5/21/2024
B
California 10/25/2021
B
South Dakota 2/22/2022
B
Florida 10/25/2021
B
Texas 10/18/2017
B
Idaho 10/18/2017
IA
Texas 10/18/2017
B
Illinois 10/18/2017
B
Utah 10/18/2017
B
Massachusetts 7/15/2024
B
Vermont 9/26/2024
B
Nevada 10/25/2021
B
Virginia 1/3/2018
B
New York 8/6/2020
B
Washington 10/16/2017
B
North Carolina 3/9/2023
IA
Washington 10/16/2017
B
Oregon 10/18/2017

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)
4000 Carillon Point Suite 600, Kirkland, WA 98033
Registered with this firm since 10/16/2017
B
MORGAN STANLEY (CRD#:149777)
4000 Carillon Point Suite 600, Kirkland, WA 98033
Registered with this firm since 10/16/2017
Previous Registration(s)
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IA
 11/14/2014 - 10/17/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SEATTLE, WA
B
 11/19/2014 - 10/17/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SEATTLE, WA
B
 10/11/2004 - 04/18/2008 RUSSELL IMPLEMENTATION SERVICES INC. PART OF RUSSELL INVESTMENTS (CRD#:329) TACOMA, WA
B
 07/09/1996 - 09/12/1996 EQ FINANCIAL CONSULTANTS, INC. (CRD#:6627) NEW YORK, NY
B
 07/09/1996 - 09/12/1996 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) 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.