Sherry L. Godfrey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sherry Lee Godfrey, who also goes by Sherry Lee Engle, was a registered financial professional .
Sherry is a previously registered financial professional and started their career in finance in 1981. Sherry had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2017 - August 6, 2020
MORGAN STANLEY
May 2, 2014 - August 6, 2020
MORGAN STANLEY
October 21, 2010 - July 20, 2012
SAMUELS CHASE & CO., INC.
March 3, 2005 - November 4, 2008
OPPENHEIMER & CO. INC.
June 29, 2000 - December 5, 2003
FINANCIAL WEST GROUP
November 18, 1994 - September 2, 1998
CITIGROUP GLOBAL MARKETS INC.
June 29, 1989 - November 30, 1994
CIBC WORLD MARKETS CORP.
June 9, 1987 - June 17, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
May 23, 1986 - November 24, 1986
MEYERS SECURITIES CORPORATION
November 5, 1985 - April 25, 1986
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
March 9, 1984 - August 26, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 1983 - March 16, 1984
CIBC WORLD MARKETS CORP.
November 4, 1981 - February 17, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
