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Detailed Report
SPENCER JAMES O'BRIEN
SPENCER James O'BRIEN, SPENCER JAMES OBRIEN
CRD#: 6897256
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 601 Union Street, Two Union Square
Suite 5200
Seattle, WA 98101
Registration History
2018201920202021202220232024202520262 FIRMS2018 - 2018 (<1 year)2 FIRMS2019 - Present (5 years)
License(s)

State Registrations

B
Alaska 7/8/2019
B
Montana 7/8/2019
B
Arizona 7/8/2019
B
Nevada 7/8/2019
B
Arkansas 9/19/2023
B
New Hampshire 7/8/2019
B
California 7/8/2019
B
New Jersey 7/8/2019
B
Colorado 7/8/2019
B
New Mexico 1/27/2020
B
Connecticut 7/8/2019
B
New York 7/8/2019
B
Delaware 9/19/2023
B
North Carolina 3/21/2022
B
District of Columbia 7/8/2019
B
Ohio 6/10/2020
B
Florida 7/8/2019
B
Oklahoma 5/27/2022
B
Georgia 7/8/2019
B
Oregon 7/8/2019
B
Hawaii 7/8/2019
B
Pennsylvania 7/8/2019
B
Idaho 7/8/2019
B
Rhode Island 7/8/2019
B
Illinois 7/8/2019
B
South Carolina 12/18/2019
B
Indiana 1/4/2022
B
South Dakota 10/29/2020
B
Kansas 1/13/2023
B
Tennessee 11/26/2021
B
Kentucky 9/19/2023
B
Texas 7/8/2019
B
Maine 7/8/2019
IA
Texas 7/8/2019
B
Maryland 9/19/2023
B
Utah 7/8/2019
B
Massachusetts 7/8/2019
B
Virginia 7/8/2019
B
Michigan 7/26/2022
B
Washington 7/8/2019
B
Minnesota 7/8/2019
IA
Washington 7/8/2019
B
Mississippi 12/21/2020
B
West Virginia 9/19/2023
B
Missouri 1/6/2021
B
Wisconsin 10/7/2022

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)
601 Union Street, Two Union Square Suite 5200, Seattle, WA 98101
Registered with this firm since 7/8/2019
B
MORGAN STANLEY (CRD#:149777)
601 Union Street, Two Union Square Suite 5200, Seattle, WA 98101
Registered with this firm since 7/8/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/06/2018 - 09/24/2018 MORGAN STANLEY (CRD#:149777) SEATTLE, WA
B
 02/22/2018 - 09/24/2018 MORGAN STANLEY (CRD#:149777) SEATTLE, WA
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.