Joseph L. Owen
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.
Joseph Leach Owen, who also goes by Joe Owen, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1982. Joseph had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 7, Series 9, Series 10, Series 8, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2011 - February 4, 2022
MORGAN STANLEY
December 9, 2011 - February 4, 2022
MORGAN STANLEY
March 13, 2009 - December 14, 2011
RBC CAPITAL MARKETS, LLC
March 13, 2009 - December 14, 2011
RBC CAPITAL MARKETS, LLC
June 20, 2002 - March 13, 2009
FERRIS, BAKER WATTS, LLC
November 2, 2000 - March 13, 2009
FERRIS, BAKER WATTS, LLC
May 5, 1999 - November 21, 2000
SCOTT & STRINGFELLOW, LLC
October 4, 1996 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
May 15, 1995 - September 19, 1996
FIRST UNION CAPITAL MARKETS CORP.
January 17, 1992 - June 2, 1995
PRUDENTIAL EQUITY GROUP, LLC
September 7, 1988 - January 30, 1992
DOW, OWEN & CO., INC.
April 29, 1982 - March 10, 1988
THE ROBINSON-HUMPHREY COMPANY, LLC
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
Series 8
Date: 4/21/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
