FD
Frank C. Dal Lago
MORGAN STANLEY DISTRIBUTION
Miami, FL 33131
Some features on this profile are disabled
CRD#: 1161129
FD
Professional summary
Frank Charles Dal Lago, who also goes by Frank Charles Dallago, is a registered financial professional currently at MORGAN STANLEY DISTRIBUTION, INC. located in Miami, Florida.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1983. Frank has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Frank Charles Dallago
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 Frank Charles Dal Lago'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
February 19, 2013 - Present
MORGAN STANLEY DISTRIBUTION, INC.
Office #1: 200 South Biscayne Boulevard 51st Floor, Miami, FL 33131BD
CRD#: 30344
Miami, FL
Past
March 5, 1991 - October 30, 2008
MORGAN STANLEY MARKET PRODUCTS INC.
BD
CRD#: 19794
NEW YORK, NY
Past
July 20, 1983 - February 21, 2013
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
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(2/19/2013)
RR
Alaska(2/21/2013)
RR
Arizona(2/19/2013)
RR
Arkansas(2/19/2013)
RR
California(2/19/2013)
RR
Colorado(2/19/2013)
RR
Connecticut(2/19/2013)
RR
Delaware(2/19/2013)
RR
District of Columbia(2/19/2013)
RR
Florida(2/19/2013)
RR
Georgia(2/19/2013)
RR
Hawaii(2/19/2013)
RR
Idaho(2/19/2013)
RR
Illinois(2/19/2013)
RR
Indiana(2/21/2013)
RR
Iowa(2/19/2013)
RR
Kansas(2/19/2013)
RR
Kentucky(2/19/2013)
RR
Louisiana(2/19/2013)
RR
Maine(2/19/2013)
RR
Maryland(2/19/2013)
RR
Massachusetts(2/21/2013)
RR
Michigan(2/19/2013)
RR
Minnesota(2/19/2013)
RR
Mississippi(2/19/2013)
RR
Missouri(2/19/2013)
RR
Montana(2/19/2013)
RR
Nebraska(2/21/2013)
RR
Nevada(2/21/2013)
RR
New Hampshire(2/19/2013)
RR
New Jersey(2/19/2013)
RR
New Mexico(2/19/2013)
RR
New York(2/19/2013)
RR
North Carolina(2/21/2013)
RR
North Dakota(2/19/2013)
RR
Ohio(2/21/2013)
RR
Oklahoma(2/19/2013)
RR
Oregon(2/21/2013)
RR
Pennsylvania(2/21/2013)
RR
Puerto Rico(2/19/2013)
RR
Rhode Island(2/19/2013)
RR
South Carolina(2/19/2013)
RR
South Dakota(2/19/2013)
RR
Tennessee(2/19/2013)
RR
Texas(2/19/2013)
RR
Utah(2/21/2013)
RR
Vermont(2/19/2013)
RR
Virginia(2/21/2013)
RR
Washington(2/19/2013)
RR
West Virginia(2/21/2013)
RR
Wisconsin(2/19/2013)
RR
Wyoming(2/19/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MORGAN STANLEY DISTRIBUTION, INC.
MAS FUND DISTRIBUTION, INC. | MORGAN STANLEY DISTRIBUTION, INC.
CRD#: 30344 / SEC#: , 8-44766
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
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(212) 296-7860
Established
Pennsylvania since 02/28/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | OWNER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER AND FINOP | 7463692 |
| MCMULLEN, FREDERICK ALLEN | DIRECTOR AND TEXAS DESIGNATED PRINCIPAL | 2537409 |
| SCHOEN, SAMANTHA JANE | DIRECTOR | 7006907 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT AND DIRECTOR | 2034689 |
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.
Company Information
MORGAN STANLEY DISTRIBUTION, INC.
CRD#: 30344Miami, FL 33131TRUST BUT VERIFY
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