Andrew J. Mayer
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.
Andrew J Mayer, who also goes by Andrew John Mayer, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1984. Andrew had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 55, Series 3, Series 5, Series 7 and Series 4 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
December 1, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
November 30, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
January 3, 2006 - May 9, 2006
MORGAN STANLEY DW INC.
June 8, 2005 - May 9, 2006
MORGAN STANLEY DW INC.
February 28, 2000 - April 26, 2005
CARLIN EQUITIES, LLC
July 31, 1997 - February 17, 2000
REGAL SECURITIES, INC.
March 13, 1996 - June 9, 1997
PRENTICE SECURITIES, INCORPORATED
August 25, 1994 - April 10, 1995
SPECTRUM TRADING PARTNERS L.P.
March 1, 1991 - January 22, 1993
SPECTRUM TRADING PARTNERS L.P.
January 31, 1989 - August 6, 1990
NEW WINDSOR ASSOCIATES, L.P.
February 28, 1986 - January 13, 1989
MANKO COMPANY
September 12, 1984 - March 5, 1986
OFS, INC.
May 22, 1984 - August 27, 1984
BROKERSTRUST CLEARING CORP.
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 55
Date: 9/30/2000
Limited Representative-Equity Trader ExamSeries 5
Date: 12/17/1984
Interest Rate 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.
