Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ALEX BRENT HUMPHRIES
ALEX BRENT HUMPHRES, ALEX HUMPHRES
CRD#: 4872869
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 303 International Circle
Hunt Valley, MD 21030
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2006 (1 year)2 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - Present (15 years)
License(s)

State Registrations

B
Alabama 8/30/2016
B
Michigan 6/13/2018
B
Arizona 5/8/2014
B
New Hampshire 3/23/2022
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 8/30/2016
B
New Mexico 5/26/2017
B
Delaware 6/1/2009
B
New York 6/1/2009
B
District of Columbia 3/10/2015
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Oregon 9/23/2021
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Hawaii 7/17/2020
B
South Carolina 7/25/2014
B
Idaho 4/6/2023
B
Texas 2/3/2010
B
Iowa 7/18/2018
IA
Texas 4/15/2020
B
Kentucky 6/1/2009
B
Vermont 8/24/2009
B
Louisiana 10/2/2023
B
Virginia 6/1/2009
B
Maine 6/1/2009
B
Washington 4/13/2018
B
Maryland 6/1/2009
B
West Virginia 10/2/2023
IA
Maryland 6/1/2009
B
Wyoming 5/14/2019
B
Massachusetts 10/17/2011

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)
303 International Circle, Hunt Valley, MD 21030
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
303 International Circle, Hunt Valley, MD 21030
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/21/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TOWSON, MD
B
 02/21/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TOWSON, MD
IA
 02/09/2005 - 02/21/2006 LEGG MASON WOOD WALKER INC (CRD#:6555) TOWSON, MD
B
 01/06/2005 - 02/21/2006 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
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.