Joseph A. Berlingo
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 A Berlingo, who also goes by Jay A Berlingo Jr., Jay Berlingo Jr, Joseph Albert Berlingo Jr, Joseph Albert Berlingo, Joseph Albert Jr Berlingo, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1968. Joseph had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 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
September 5, 2023 - December 22, 2023
MORGAN STANLEY
January 11, 2023 - December 22, 2023
MORGAN STANLEY
July 27, 2022 - September 5, 2023
HARRISDIRECT LLC
July 21, 2022 - September 5, 2023
E*TRADE SECURITIES LLC
June 17, 2019 - April 18, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 28, 2019 - April 4, 2022
FIDELITY BROKERAGE SERVICES LLC
May 16, 2017 - February 22, 2019
CITIZENS SECURITIES, INC.
May 16, 2017 - February 22, 2019
CITIZENS SECURITIES, INC.
February 10, 2009 - April 22, 2016
CHARLES SCHWAB & CO., INC.
February 10, 2009 - April 22, 2016
CHARLES SCHWAB & CO., INC.
February 27, 2007 - February 17, 2009
TD WEALTH MANAGEMENT SERVICES INC.
February 26, 2007 - February 17, 2009
TD WEALTH MANAGEMENT SERVICES INC.
October 20, 2004 - February 27, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - February 27, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 9, 2002 - October 20, 2004
QUICK & REILLY, INC.
February 22, 2002 - October 20, 2004
QUICK & REILLY, INC.
November 12, 1997 - February 25, 2002
CITICORP INVESTMENT SERVICES
December 11, 1990 - January 9, 1997
A. G. EDWARDS & SONS, INC.
November 30, 1990 - December 14, 1990
CHATFIELD DEAN & CO., INC.
May 20, 1988 - November 30, 1990
THE STUART-JAMES COMPANY, INCORPORATED
November 24, 1986 - May 17, 1988
CITIGROUP GLOBAL MARKETS INC.
April 21, 1983 - June 21, 1984
FIRST JERSEY SECURITIES, INC.
July 7, 1968 - November 29, 1986
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
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.
