James Tracy Stines
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.
James Tracy Stines, who also goes by James Tracy Stines, James Tracy Tracy Stines, Tracy Stines, was a registered financial professional .
James Tracy is a previously registered financial professional and started their career in finance in 1983. James Tracy had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2021 - January 13, 2026
MORGAN STANLEY
April 30, 2021 - January 13, 2026
MORGAN STANLEY
February 17, 2021 - April 30, 2021
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - April 30, 2021
TRUIST INVESTMENT SERVICES, INC.
January 2, 2013 - February 17, 2021
BB&T SECURITIES, LLC
January 2, 2013 - February 17, 2021
BB&T SECURITIES, LLC
September 12, 2002 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
August 22, 2002 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
December 31, 2001 - August 23, 2002
PRUDENTIAL EQUITY GROUP, LLC
October 16, 1998 - August 23, 2002
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1992 - October 26, 1998
LEGG MASON WOOD WALKER, INCORPORATED
June 20, 1986 - April 22, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 1984 - June 16, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
March 23, 1984 - April 6, 1988
IDS LIFE INSURANCE COMPANY
March 23, 1984 - April 6, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
August 17, 1983 - March 26, 1984
FORESTERS FINANCIAL SERVICES, 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 | 116 |
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.
