Colleen T. Gillespie
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.
Colleen T Gillespie, who also goes by Colleen Therese Gillespie, was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 1982. Colleen had worked at 8 firms and has passed the Series 66, SIE 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
April 12, 2022 - September 22, 2022
MORGAN STANLEY
April 5, 2022 - September 22, 2022
MORGAN STANLEY
August 4, 2020 - August 7, 2020
MADISON AVENUE SECURITIES, LLC
January 22, 2020 - August 4, 2020
J.W. COLE FINANCIAL, INC.
January 13, 2020 - August 4, 2020
CENTENNIAL WEALTH ADVISORY, LLC
June 1, 2009 - January 3, 2020
MORGAN STANLEY
June 1, 2009 - January 3, 2020
MORGAN STANLEY
February 27, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 27, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 21, 2005 - March 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 2005 - March 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 2004 - July 8, 2005
U.S. BANCORP INVESTMENTS, INC.
November 17, 1999 - July 6, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 1982 - November 5, 1983
J.P. MORGAN SECURITIES LLC
January 25, 1982 - July 6, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH 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.
