MS
Mark F. Seruya
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CRD#: 1108375
MS
Professional summary
Mark Frederic Seruya was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Mark had worked at 5 firms, which includes MORGAN STANLEY, MORGAN STANLEY & CO. LLC, J.P. MORGAN SECURITIES LLC, BEVILL BRESLER & SCHULMAN INCORPORATED, HALPERT AND COMPANY INC..
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
WINDSOR GARDENS REAL ESTATE- 522 NORTH STATE ST. WESTERVILLE, OH- MULTIFAMILY HOUSING INVESTMENT IN COLUMBUS OHIO- PASSIVE INVESTOR- 3 TO 4 HOURS OUTSIDE BUSINESS HOURS, 0 HOURS DURING TRADING HOURS, 0 SHARES HELD- INVESTMENT RELATED NORTHSIDE PLAZA SHOPPING CENTER- 12 CHRISTOPHER WAY EATONTOWN NJ- PASSIVE INVESTOR, FAMILY OWNED SHOPPING CENTER IN NORTH CAROLINA- 0 HOURS DEVOTED DURING AND OUTSIDE TRADING HOURS, 0 SHARES HELD- INVESTMENT RELATED UNIVERSITY GARDENS- STUDENT HOUSING- 522 NORTH STATE WESTERVILLE OHIO- OWNER, FAMILY OWNED STUDENT HOUSING PROJECT IN COLUMBUS OHIO- 3 TO 4 HOURS OUTSIDE BUSINESS HOURS, 0 HOURS DURING TRADING HOURS, 0 SHARES HELD- INVESTMENT RELATED Windsor DTD LLC; Investment related No; Dayton, OH; Real Estate; Role/position/job title (proprietor, partner, officer, director, employee, trustee, agent); May/2018; During business hours: 0; After business hours: 2;
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
June 1, 2009 - August 23, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Red Bank, NJ
Past
June 1, 2009 - August 23, 2024
MORGAN STANLEY
BD
CRD#: 149777
Red Bank, NJ
Past
March 26, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
NEW YORK, NY
Past
March 17, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
January 1, 2001 - August 30, 2004
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NEW YORK, NY
Past
April 27, 1985 - March 26, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
January 30, 1984 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
BD
CRD#: 6971
Past
March 22, 1983 - January 23, 1984
HALPERT AND COMPANY, INC.
BD
CRD#: 7094
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MORGAN STANLEY
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP
CRD#: 149777 / SEC#: 801-70103, 8-68191
RIA
Registered Investment Advisory firm - SEC (5/11/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MORGAN STANLEY
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP
CRD#: 149777 / SEC#: 801-70103, 8-68191
RIA
Registered Investment Advisory firm - SEC (5/11/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
2000 Westchester Avenue, Purchase, NY 10577-2530
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(914) 225-1000
Established
Delaware since 02/02/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
29,200
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.
