Joseph P. Baldez
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.
Joseph Paton Baldez was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1966. Joseph had worked at 8 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC, Series 000 and Series 1 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 3, 2014
MORGAN STANLEY
June 1, 2009 - June 3, 2014
MORGAN STANLEY
April 10, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 2, 1980 - July 31, 1993
LEHMAN BROTHERS INC.
January 31, 1980 - September 29, 1980
UBS FINANCIAL SERVICES INC.
August 27, 1973 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 18, 1973 - November 15, 1973
MITCHUM, JONES & TEMPLETON INCORPORATED
November 28, 1972 - September 3, 1973
DUPONT GLORE FORGAN INC
April 29, 1966 - December 2, 1972
EASTMAN DILLON, UNION SECURITIES & CO., 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 15
Date: 2/4/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 9/4/1980
AMEX Put and Call ExamSeries 000
Date: 4/28/1966
General Securities Principal ExaminationSeries 1
Date: 4/28/1966
Registered Representative ExaminationCurrent 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.
