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Registration History
197019751980198519901995200020052010201520202025IAMORGAN STANLEY (CRD# 149777)2020 - Present (4 years)BMORGAN STANLEY (CRD# 149777)2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1994 - 2009 (15 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1988 - 1993 (5 years)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1988 - 1988 (<1 year)BE. F. HUTTON & COMPANY INC (CRD# 235)1978 - 1988 (9 years)BPHILIPS, APPEL & WALDEN, INC. (CRD# 659)1975 - 1978 (2 years)BJAS. H. OLIPHANT & CO., INC. (CRD# 464)1975 - 1976 (<1 year)BJ. H. KERN & CO. (CRD# 5811)1973 - 1975 (2 years)BCOMMONWEALTH CHEMICAL (CRD# 1000001)1969 - 1973 (3 years)
Disclosure(s)
View By:
8/11/1976
Regulatory
Final
License(s)

State Registrations

B
Alabama 4/16/2015

B
Nevada 6/1/2009

B
Arizona 12/21/2012

B
New Hampshire 6/1/2009

B
California 6/1/2009

B
New Jersey 6/1/2009

B
Colorado 6/1/2009

B
New York 6/1/2009

B
Connecticut 6/1/2009

IA
New York 6/16/2021

B
Delaware 2/23/2017

B
Ohio 6/1/2009

B
District of Columbia 11/28/2023

B
Pennsylvania 6/1/2009

B
Florida 6/1/2009

B
South Carolina 5/29/2018

B
Hawaii 5/9/2011

B
Texas 6/1/2009

B
Iowa 12/1/2023

IA
Texas 5/15/2020

B
Maine 10/31/2022

B
Vermont 6/1/2009

B
Maryland 7/13/2020

B
Virginia 6/1/2009

B
Massachusetts 6/1/2009

B
Washington 9/25/2018

B
Missouri 10/4/2023

B
Wisconsin 6/1/2009

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)
Sound Beach, NY
Registered with this firm since 5/15/2020

B
MORGAN STANLEY (CRD#:149777)
Sound Beach, NY
Registered with this firm since 6/1/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
B
01/12/1994 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MOUNT KISCO, NY
B
03/14/1988 - 12/17/1993 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
02/15/1988 - 03/29/1988 SHEARSON LEHMAN HUTTON INC. (CRD#:7506)
B
05/24/1978 - 02/15/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
12/15/1975 - 06/07/1978 PHILIPS, APPEL & WALDEN, INC. (CRD#:659)
B
10/14/1975 - 06/07/1976 JAS. H. OLIPHANT & CO., INC. (CRD#:464)
B
01/15/1973 - 11/14/1975 J. H. KERN & CO. (CRD#:5811)
B
10/15/1969 - 01/22/1973 COMMONWEALTH CHEMICAL (CRD#:1000001)
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Broker
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Investment Adviser
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.