Sheri C. Mccann
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.
Sheri Carol Mccann was a registered financial professional .
Sheri is a previously registered financial professional and started their career in finance in 1981. Sheri had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2012 - March 11, 2022
MORGAN STANLEY
February 17, 2012 - March 11, 2022
MORGAN STANLEY
July 18, 2005 - February 21, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 9, 2003 - February 21, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 5, 1998 - June 5, 2003
CUNA BROKERAGE SERVICES, INC.
March 10, 1998 - August 5, 1998
SIGNATOR INVESTORS, INC.
November 29, 1994 - December 31, 1995
TD AMERITRADE CLEARING, INC.
August 12, 1994 - September 4, 1996
FFG INVESTMENTS INC.
January 4, 1994 - August 3, 1994
WALL STREET ACCESS
August 29, 1989 - January 13, 1994
METROPOLITAN LIFE INSURANCE COMPANY
August 29, 1989 - January 13, 1994
MSI FINANCIAL SERVICES, INC.
May 14, 1988 - August 21, 1989
LEHMAN BROTHERS INC.
December 18, 1984 - May 14, 1988
E. F. HUTTON & COMPANY INC
September 17, 1981 - September 11, 1984
CONTISECURITIES, INC.
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.
