Peggy A. Daniels
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.
Peggy A Daniels, who also goes by Peggy Ann Branson, Peggy Ann Daniels, Peggy Doss Daniels, Peggy Ann Doss, was a registered financial professional .
Peggy is a previously registered financial professional and started their career in finance in 1984. Peggy had worked at 11 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2011 - June 21, 2012
MORGAN STANLEY
June 1, 2009 - June 21, 2012
MORGAN STANLEY
April 22, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 2, 2002 - July 25, 2003
CITIGROUP GLOBAL MARKETS INC.
April 23, 1999 - January 2, 2002
THE ROBINSON-HUMPHREY COMPANY, LLC
August 12, 1998 - March 19, 1999
SEQUOIA INVESTMENTS, INC.
November 27, 1996 - June 3, 1998
TRUIST SECURITIES, INC.
November 15, 1994 - November 9, 1995
PARAGON FINANCIAL GROUP, INCORPORATED
February 25, 1992 - May 17, 1994
MORGAN KEEGAN & COMPANY, LLC
May 24, 1988 - April 9, 1991
PRUDENTIAL EQUITY GROUP, LLC
March 2, 1987 - March 31, 1988
UMIC, INC.
December 12, 1986 - March 6, 1987
FIRST FUNDS, INC.
August 22, 1985 - September 9, 1986
MORGAN KEEGAN & COMPANY, LLC
April 18, 1985 - September 13, 1985
T. J. RANEY & SONS, INC.
February 23, 1984 - November 13, 1984
MORGAN KEEGAN & COMPANY, LLC
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: 6/25/1997
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.
