Robert A. Fay
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.
Robert Ambrose Fay, who also goes by Robert A Fay, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 8 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
February 25, 2011 - February 9, 2012
MORGAN STANLEY
January 26, 2011 - February 9, 2012
MORGAN STANLEY
August 1, 2008 - February 6, 2009
NATIONWIDE SECURITIES, LLC
December 20, 2006 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
February 18, 2005 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
June 25, 2003 - July 10, 2003
1717 CAPITAL MANAGEMENT COMPANY
October 30, 2002 - February 6, 2009
NATIONWIDE SECURITIES, LLC
September 10, 1996 - October 8, 2002
WALNUT STREET SECURITIES, INC.
November 22, 1994 - February 22, 1995
PNC BROKERAGE CORP
March 13, 1994 - November 22, 1994
PNC CAPITAL MARKETS LLC
July 31, 1993 - April 6, 1994
CITIGROUP GLOBAL MARKETS INC.
July 28, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
June 10, 1987 - September 6, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 30, 1985 - May 15, 1987
COLEMAN FINANCIAL SERVICES, INC.
June 22, 1983 - September 6, 1991
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
Series 8
Date: 7/14/1987
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.
