Lauri Rousseau
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.
Lauri Rousseau, who also goes by Ann L Rousseau, Anne Lauraine Rousseau, was a registered financial professional .
Lauri is a previously registered financial professional and started their career in finance in 2000. Lauri had worked at 10 firms and has passed the Series 65, Series 63, 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
March 3, 2014 - April 7, 2016
MORGAN STANLEY
February 28, 2014 - April 7, 2016
MORGAN STANLEY
June 7, 2012 - January 27, 2014
WELLS FARGO CLEARING SERVICES, LLC
March 26, 2012 - January 27, 2014
WELLS FARGO CLEARING SERVICES, LLC
May 26, 2011 - January 13, 2012
GLOBAL HUNTER SECURITIES, LLC
August 10, 2010 - April 21, 2011
BARCLAYS CAPITAL INC.
September 15, 2009 - November 18, 2009
B. C. ZIEGLER AND COMPANY
April 30, 2009 - May 27, 2009
ASSOCIATED SECURITIES CORP.
April 25, 2006 - August 7, 2008
MORGAN STANLEY & CO. LLC
March 11, 2005 - April 20, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 1, 2002 - October 16, 2003
MORGAN STANLEY DW INC.
January 26, 2001 - June 1, 2001
PACIFIC GROWTH EQUITIES, LLC
January 25, 2000 - January 23, 2001
BANC OF AMERICA INVESTMENT SERVICES, 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.
