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Detailed Report
THOMAS HESS FORBES
CRD#: 818699
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 40701 Woodward Avenue
Suite 200
Bloomfield Hills, MI 48304
Registration History
1980198519901995200020052010201520202025IAMORGAN STANLEY (CRD# 149777)2010 - Present (14 years)BMORGAN STANLEY (CRD# 149777)2009 - Present (15 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)1987 - 2007 (19 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1980 - 1987 (7 years)BPAINE, WEBBER, JACKSON & CURTI... (CRD# 640)1978 - 1980 (1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)1977 - 1978 (<1 year)BWATLING, LERCHEN & CO. INCORPO... (CRD# 874)1976 - 1978 (2 years)
Disclosure(s)
View By:
5/6/2020
Customer Dispute
Settled
1/2/1998
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 2/23/2018
B
Montana 3/8/2016
B
Arizona 6/12/2019
B
Nebraska 12/20/2023
B
Arkansas 4/8/2024
B
Nevada 5/24/2021
B
California 6/1/2009
B
New Jersey 12/19/2023
B
Colorado 12/19/2023
B
New Mexico 12/19/2023
B
Connecticut 12/19/2023
B
New York 11/21/2021
B
Florida 6/1/2009
B
North Carolina 1/9/2020
B
Georgia 6/1/2009
B
Ohio 6/1/2009
B
Hawaii 4/29/2024
B
Oregon 4/5/2024
B
Illinois 6/1/2009
B
South Carolina 6/1/2009
B
Indiana 12/19/2023
B
Tennessee 12/20/2023
B
Iowa 1/5/2024
B
Texas 10/20/2015
B
Kentucky 12/19/2023
IA
Texas 3/19/2020
B
Maine 12/21/2023
B
Utah 12/19/2023
B
Maryland 12/19/2023
B
Virginia 1/11/2019
B
Michigan 6/1/2009
B
Washington 6/1/2009
IA
Michigan 10/30/2010
B
Wisconsin 6/1/2009
B
Minnesota 12/26/2023
B
Wyoming 12/20/2023

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)
40701 Woodward Avenue Suite 200, Bloomfield Hills, MI 48304
Registered with this firm since 10/30/2010
B
MORGAN STANLEY (CRD#:149777)
40701 Woodward Avenue Suite 200, Bloomfield Hills, MI 48304
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BLOOMFIELD HILLS, MI
B
 12/11/1987 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) BLOOMFIELD HILLS, MI
B
 01/31/1980 - 12/22/1987 PAINEWEBBER INCORPORATED (CRD#:8174)
B
 05/02/1978 - 01/31/1980 PAINE, WEBBER, JACKSON & CURTIS INCORPORATED (CRD#:640)
B
 12/02/1977 - 04/30/1978 A. G. EDWARDS & SONS, INC. (CRD#:4)
B
 03/01/1976 - 03/13/1978 WATLING, LERCHEN & CO. INCORPORATED (CRD#:874)
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.