Ernest A. Marchosky
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.
Ernest A Marchosky, who also goes by Ernest Alonso Marchosky, Ernest Marchosky, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1984. Ernest had worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53 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 28, 2017 - April 10, 2023
MORGAN STANLEY & CO. LLC
November 28, 2016 - May 5, 2017
MORGAN STANLEY & CO. LLC
December 3, 2012 - December 26, 2017
MORGAN STANLEY
June 17, 2009 - December 31, 2010
MORGAN STANLEY & CO. LLC
June 17, 2009 - February 7, 2013
MORGAN STANLEY & CO. LLC
June 1, 2009 - July 15, 2009
MORGAN STANLEY
June 1, 2009 - July 15, 2009
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 2, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
September 13, 1990 - April 2, 2007
MORGAN STANLEY DW INC.
February 9, 1988 - July 3, 1990
WESTPAC POLLOCK GOVERNMENT SECURITIES INC.
January 16, 1984 - October 31, 1988
WESTPAC POLLOCK & CO. INC.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| HIRSHORN, WILLIAM DAVID | PRINCIPAL OPERATIONS OFFICER | 1564223 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
