Denise K. Anderson
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.
Denise Kathleen Anderson, who also goes by Dee Anderson, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1983. Denise had worked at 14 firms and has passed the 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
June 1, 2009 - March 27, 2015
MORGAN STANLEY
June 1, 2009 - March 27, 2015
MORGAN STANLEY
September 6, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 6, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 26, 1999 - August 17, 2005
CITIGROUP GLOBAL MARKETS INC.
January 21, 1999 - August 17, 2005
CITIGROUP GLOBAL MARKETS INC.
June 27, 1997 - November 17, 1997
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
November 12, 1996 - April 14, 1997
RAYMOND JAMES & ASSOCIATES, INC.
September 18, 1995 - October 14, 1996
UBS FINANCIAL SERVICES INC.
July 17, 1995 - September 5, 1995
JWGENESIS SECURITIES, INC.
May 3, 1994 - July 13, 1995
GRUNTAL & CO., L.L.C.
September 3, 1993 - May 3, 1994
KIDDER, PEABODY & CO. INCORPORATED
November 6, 1990 - December 6, 1993
CITIGROUP GLOBAL MARKETS INC.
July 30, 1990 - October 19, 1990
UBS FINANCIAL SERVICES INC.
September 6, 1988 - March 8, 1990
CITIGROUP GLOBAL MARKETS INC.
April 6, 1987 - August 17, 1988
CIBC WORLD MARKETS CORP.
August 29, 1986 - March 14, 1987
A. G. EDWARDS & SONS, INC.
October 16, 1985 - September 10, 1986
LAWSON FINANCIAL CORPORATION
August 6, 1984 - October 14, 1985
INVESCO CAPITAL MARKETS, INC.
May 17, 1983 - May 26, 1984
FISCHER JOHNSON, INCORPORATED
March 1, 1983 - March 21, 1983
NATIONSBANC SECURITIES OF GEORGIA, 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.
