Eric A. Greene
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.
Eric Arnold Greene, who also goes by Rick Greene, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1983. Eric had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2009 - June 22, 2016
MORGAN STANLEY
June 1, 2009 - June 22, 2016
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 28, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
June 28, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
May 17, 2002 - July 6, 2005
RBC CAPITAL MARKETS, LLC
March 9, 2002 - July 6, 2005
RBC CAPITAL MARKETS, LLC
September 1, 1999 - March 9, 2002
TUCKER ANTHONY INCORPORATED
March 15, 1999 - September 1, 1999
GIBRALTAR SECURITIES CO.
July 22, 1998 - March 4, 1999
FIRST UNION BROKERAGE SERVICES, INC.
October 24, 1994 - July 17, 1998
FIRST UNION CAPITAL MARKETS CORP.
May 12, 1994 - November 23, 1994
GIBRALTAR SECURITIES CO.
November 27, 1990 - May 18, 1994
HYM FINANCIAL, INC.
August 10, 1989 - October 31, 1990
THE TRADING DESK, INC.
May 15, 1987 - November 16, 1987
FINANCIAL NORTHEASTERN SECURITIES, INC.
September 10, 1985 - December 3, 1985
AMERICAN EAGLE SECURITIES, INC.
February 17, 1983 - June 14, 1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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.
