MORGAN STANLEY
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MORGAN STANLEY
(CRD# 149777)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Purchase, NY.
The SEC approved the firm to operate as an RIA in
May 2009.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$729.2 Billion,
with discretion over
65%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
4%
.
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MORGAN STANLEY
also reported in
Mar 2019
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26000
employees,
with
15000
performing advisory functions.
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A total of 703 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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MORGAN STANLEY has one or more disclosure events currently on file with the SEC.
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MORGAN STANLEY has Notice Filings with the following State Securities Authorities: AK-May 2009, AL-May 2009, AR-May 2009, AZ-May 2009, CA- CO-May 2009, CT-May 2009, DC-May 2009, DE-May 2009, FL-<
, GA-May 2009, HI-May 2009, IA-May 2009, ID-May 2009, IL-<
, IN-May 2009, KS-May 2009, KY-May 2009, LA-May 2009, MD-<
, ME-May 2009, MI-Mar 2010, MN-May 2009, MO-May 2009, MS-<
, MT-May 2009, NC-May 2009, ND-May 2009, NE-May 2009, NH-<
, NJ-Jun 2009, NM-May 2009, NV-May 2009, NY-May 2009, OH-<
, OK-May 2009, OR-May 2009, PA-May 2009, RI-May 2009, SC-<
, SD-Jun 2009, TN-May 2009, TX-May 2009, UT-May 2009, VA-<
, VI-May 2009, VT-May 2009, WA-May 2009, WI-May 2009, WV-<
, WY-Sep 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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