Arthur P. Hofstetter
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.
Arthur Peter Hofstetter was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1983. Arthur had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 15, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2013 - January 12, 2016
MORGAN STANLEY
May 7, 2013 - January 12, 2016
MORGAN STANLEY
September 13, 2011 - January 9, 2013
CAPSTONE INVESTMENTS
January 2, 2008 - January 20, 2010
BREAN CAPITAL, LLC
May 2, 2007 - December 21, 2007
WALL STREET ACCESS
March 2, 2005 - January 29, 2007
RYAN BECK & CO.
August 7, 2003 - March 14, 2005
ADVEST, INC.
May 24, 2001 - March 5, 2003
WELLS FARGO CLEARING SERVICES, LLC
November 3, 2000 - May 14, 2001
UBS SECURITIES LLC
December 10, 1993 - November 3, 2000
UBS FINANCIAL SERVICES INC.
August 29, 1988 - October 7, 1993
LEHMAN BROTHERS INC.
November 22, 1983 - June 30, 1988
TUCKER ANTHONY INCORPORATED
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 15
Date: 7/1/1985
Foreign Currency Options ExaminationCurrent 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.
