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
JOEL F ENGELHARDT
JOAL F ENGELHART, JOEL F ENGELHART
CRD#: 5104682
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 7733 Forsyth Boulevard
Suite 2100
Clayton, MO 63105
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2009 (2 years)2 FIRMS2009 - 2022 (13 years)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Florida 4/1/2022
IA
Missouri 4/1/2022
B
Illinois 4/1/2022
B
South Carolina 11/7/2023
B
Kansas 4/1/2022
B
Tennessee 3/15/2024
B
Missouri 4/1/2022

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)
7733 Forsyth Boulevard Suite 2100, Clayton, MO 63105
Registered with this firm since 4/1/2022
B
MORGAN STANLEY (CRD#:149777)
7733 Forsyth Boulevard Suite 2100, Clayton, MO 63105
Registered with this firm since 4/1/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/30/2009 - 04/21/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHESTERFIELD, MO
B
 01/30/2009 - 04/21/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHESTERFIELD, MO
IA
 08/21/2006 - 02/03/2009 OPPENHEIMER & CO. INC. (CRD#:249) ST. LOUIS, MO
B
 08/11/2006 - 02/03/2009 OPPENHEIMER & CO. INC. (CRD#:249) 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.