Harold S. Collins
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.
Harold Scott Collins, who also goes by H. S Collins, H. Scott Collins, Harold Scott Collins, Scott Collins, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1982. Harold had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 16, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2016 - November 3, 2018
MORGAN STANLEY
February 5, 2016 - November 3, 2018
MORGAN STANLEY
June 24, 2013 - February 9, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2013 - February 9, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 29, 2008 - May 2, 2008
RBC CAPITAL MARKETS, LLC
February 6, 2004 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
October 3, 2003 - February 6, 2004
RBC CAPITAL MARKETS, LLC
July 26, 2001 - August 19, 2003
TRUIST SECURITIES, INC.
May 1, 2000 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
June 21, 1995 - March 22, 2000
LEHMAN BROTHERS INC.
January 15, 1995 - June 27, 1995
NATWEST SECURITIES CORPORATION
October 17, 1990 - January 10, 1995
KIDDER, PEABODY & CO. INCORPORATED
November 18, 1985 - October 17, 1990
CITIGROUP GLOBAL MARKETS INC.
March 30, 1982 - November 23, 1985
HUNTLEIGH SECURITIES CORPORATION
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: 1/5/1999
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.
