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Detailed Report
ALAN BROWNE WHITMAN
CRD#: 465736
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
197519801985199019952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BMORGAN STANLEY DW INC. (CRD# 7556)1978 - 2007 (29 years)BDEAN WITTER & CO. INCORPORATED (CRD# 6466)1973 - 1978 (4 years)BDEAN WITTER & CO. INCORPORATED (CRD# 209)1971 - 1973 (1 year)IAMORGAN STANLEY (CRD# 7556)1997 - 2007 (9 years)
Disclosure(s)
View By:
12/27/2005
Customer Dispute
Denied
12/9/2005
Customer Dispute
Denied
License(s)

State Registrations

B
Alaska 7/25/2022
B
Missouri 3/26/2024
B
Arizona 6/1/2009
B
Montana 6/3/2022
B
Arkansas 6/8/2022
B
Nebraska 6/1/2009
B
California 6/1/2009
B
Nevada 6/1/2009
IA
California 6/1/2009
B
New Jersey 10/19/2011
B
Colorado 6/1/2009
B
New Mexico 6/1/2009
B
Connecticut 6/1/2009
B
New York 6/1/2009
B
Delaware 10/28/2022
B
North Carolina 6/1/2009
B
District of Columbia 2/4/2020
B
Ohio 1/3/2019
B
Florida 6/1/2009
B
Oklahoma 6/1/2009
B
Georgia 6/1/2009
IA
Oklahoma 6/1/2009
B
Hawaii 6/1/2009
B
Oregon 6/1/2009
IA
Hawaii 6/1/2009
B
Pennsylvania 6/1/2009
B
Idaho 7/17/2020
B
Rhode Island 7/9/2024
B
Illinois 6/1/2009
B
South Carolina 6/5/2013
B
Indiana 6/1/2009
B
South Dakota 7/23/2013
B
Kansas 6/1/2009
B
Tennessee 6/1/2009
B
Kentucky 6/1/2009
B
Texas 6/1/2009
B
Maine 6/1/2009
IA
Texas 6/1/2009
B
Maryland 6/1/2009
B
Utah 6/1/2009
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
Michigan 6/1/2009
B
Washington 6/1/2009
B
Minnesota 7/30/2015
B
Wisconsin 4/18/2018
B
Mississippi 12/4/2017
B
Wyoming 7/27/2016

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)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
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) PASADENA, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PASADENA, CA
IA
 07/08/1997 - 04/02/2007 MORGAN STANLEY (CRD#:7556) PASADENA, CA
B
 02/24/1978 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) PASADENA, CA
B
 05/16/1973 - 02/24/1978 DEAN WITTER & CO. INCORPORATED (CRD#:6466)
B
 12/22/1971 - 05/16/1973 DEAN WITTER & CO. INCORPORATED (CRD#:209)
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.