Thomas A. Meier
Professional summary
Thomas Alan Meier was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Thomas had worked at 7 firms, which includes MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL EQUITY GROUP LLC, THOMSON MCKINNON SECURITIES INC., AMERIFIRST SECURITIES CORPORATION, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, FAIC SECURITIES INC..
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 - April 5, 2016
MORGAN STANLEY
June 1, 2009 - April 5, 2016
MORGAN STANLEY
October 28, 1992 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 28, 1992 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 25, 1989 - November 3, 1992
PRUDENTIAL EQUITY GROUP, LLC
March 18, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
December 10, 1985 - February 25, 1989
AMERIFIRST SECURITIES CORPORATION
April 18, 1984 - August 5, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 1983 - December 5, 1989
FAIC SECURITIES, 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.
