Robert A. Lobel
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.
Robert Andrew Lobel was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 8 firms and has passed the Series 63, Series 65, 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
October 31, 2011 - May 14, 2014
MORGAN STANLEY
October 31, 2011 - May 14, 2014
MORGAN STANLEY
February 1, 2008 - November 2, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2008 - November 2, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 28, 2006 - February 11, 2008
RAYMOND JAMES & ASSOCIATES, INC.
December 8, 2005 - February 11, 2008
RAYMOND JAMES & ASSOCIATES, INC.
May 24, 2002 - December 7, 2005
RBC CAPITAL MARKETS, LLC
March 9, 2002 - December 7, 2005
RBC CAPITAL MARKETS, LLC
March 15, 1999 - March 9, 2002
SUTRO & CO. INCORPORATED
February 22, 1997 - January 26, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 1989 - March 25, 1997
SCHRODER & CO. INC.
January 4, 1988 - June 29, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
September 30, 1981 - March 27, 1987
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.
