VT
Vincent Thompson
MORGAN STANLEY & CO. LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 1083965
VT
Professional summary
Vincent Thompson JR, who also goes by VIncent Thompson, is a registered financial professional currently at MORGAN STANLEY & CO. LLC located in New York, New York.
Vincent is registered as a RR (Registered Representative) and started their career in finance in 1984. Vincent has worked at 5 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Vincent Thompson
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Vincent Thompson JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 16, 2014 - Present
MORGAN STANLEY & CO. LLC
Office #1: 1585 Broadway, New York, NY 10036BD
CRD#: 8209
New York, NY
Past
June 1, 2009 - August 18, 2014
MORGAN STANLEY
BD
CRD#: 149777
New York, NY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PURCHASE, NY
Past
April 27, 1995 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
November 3, 1988 - December 4, 1991
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
May 14, 1988 - August 29, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
February 27, 1984 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/26/2015)
RR
Alaska(1/26/2015)
RR
Arizona(1/26/2015)
RR
Arkansas(1/26/2015)
RR
California(1/26/2015)
RR
Colorado(1/26/2015)
RR
Connecticut(1/26/2015)
RR
Delaware(1/26/2015)
RR
District of Columbia(1/26/2015)
RR
Florida(1/26/2015)
RR
Georgia(1/26/2015)
RR
Hawaii(1/26/2015)
RR
Idaho(1/26/2015)
RR
Illinois(1/26/2015)
RR
Indiana(1/26/2015)
RR
Iowa(1/26/2015)
RR
Kansas(1/26/2015)
RR
Kentucky(1/26/2015)
RR
Louisiana(1/26/2015)
RR
Maine(1/26/2015)
RR
Maryland(1/26/2015)
RR
Massachusetts(1/26/2015)
RR
Michigan(1/26/2015)
RR
Minnesota(1/26/2015)
RR
Mississippi(1/26/2015)
RR
Missouri(1/26/2015)
RR
Montana(1/26/2015)
RR
Nebraska(1/26/2015)
RR
Nevada(1/26/2015)
RR
New Hampshire(1/26/2015)
RR
New Jersey(3/10/2015)
RR
New Mexico(1/26/2015)
RR
New York(5/16/2014)
RR
North Carolina(1/28/2015)
RR
North Dakota(1/26/2015)
RR
Ohio(1/27/2015)
RR
Oklahoma(1/26/2015)
RR
Oregon(1/26/2015)
RR
Pennsylvania(1/26/2015)
RR
Puerto Rico(1/26/2015)
RR
Rhode Island(1/26/2015)
RR
South Carolina(1/26/2015)
RR
South Dakota(1/26/2015)
RR
Tennessee(1/26/2015)
RR
Texas(1/26/2015)
RR
Utah(1/26/2015)
RR
Vermont(1/26/2015)
RR
Virgin Islands(1/26/2015)
RR
Virginia(1/26/2015)
RR
Washington(1/26/2015)
RR
West Virginia(1/26/2015)
RR
Wisconsin(1/26/2015)
RR
Wyoming(1/26/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MS
MORGAN STANLEY & CO. LLC
MORGAN STANLEY | MORGAN STANLEY DEAN WITTER | MORGAN STANLEY & CO., INCORPORATED | MORGAN STANLEY & CO. LLC | MORGAN STANLEY & CO. INCORPORATED
CRD#: 8209 / SEC#: , 8-15869
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1585 Broadway, New York, NY 10036-8293
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(212) 761-4000
Established
Delaware since 12/03/1969
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| HIRSHORN, WILLIAM DAVID | PRINCIPAL OPERATIONS OFFICER | 1564223 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
