Sheldon M. Pittleman
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.
Sheldon Mark Pittleman, who also goes by Shelly Mark Pittleman, was a registered financial professional .
Sheldon is a previously registered financial professional and started their career in finance in 1983. Sheldon had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 8, Series 4 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
June 1, 2009 - January 12, 2015
MORGAN STANLEY
June 1, 2009 - January 12, 2015
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 3, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
July 23, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
May 7, 1999 - August 20, 2004
UBS FINANCIAL SERVICES INC.
May 7, 1999 - August 20, 2004
UBS FINANCIAL SERVICES INC.
October 2, 1992 - May 11, 1999
PRUDENTIAL EQUITY GROUP, LLC
November 13, 1990 - October 9, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 1989 - December 4, 1990
JOSEPHTHAL & CO., INC.
December 8, 1988 - December 12, 1989
J F LOWE & COMPANY INCORPORATED
January 4, 1988 - December 13, 1988
GREENTREE SECURITIES CORP.
June 11, 1985 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
October 1, 1984 - June 12, 1985
CITIWIDE SECURITIES CORP.
December 21, 1983 - June 13, 1984
VANTAGE SECURITIES OF COLORADO, 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
Series 8
Date: 2/7/1990
General Securities Sales Supervisor Examination (Options Module & General Module)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.
