Edward R. Sitton
Professional summary
Edward Robert Sitton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Edward is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Edward had worked at 10 firms, which includes MORGAN STANLEY, RAYMOND JAMES & ASSOCIATES INC., RBC CAPITAL MARKETS LLC, UBS FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, FPI SECURITIES INC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2012 - July 25, 2013
MORGAN STANLEY
April 20, 2012 - July 25, 2013
MORGAN STANLEY
January 31, 2011 - April 23, 2012
RAYMOND JAMES & ASSOCIATES, INC.
February 2, 2010 - April 23, 2012
RAYMOND JAMES & ASSOCIATES, INC.
February 16, 2007 - February 18, 2010
RBC CAPITAL MARKETS, LLC
February 16, 2007 - February 18, 2010
RBC CAPITAL MARKETS, LLC
November 8, 2002 - March 1, 2007
UBS FINANCIAL SERVICES INC.
November 8, 2002 - March 1, 2007
UBS FINANCIAL SERVICES INC.
January 4, 2000 - November 12, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 6, 1995 - November 12, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - June 13, 1995
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
January 8, 1988 - February 15, 1988
E. F. HUTTON & COMPANY INC
May 25, 1984 - February 28, 1985
FPI SECURITIES, INC.
May 25, 1984 - January 20, 1988
PRUDENTIAL EQUITY GROUP, 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
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.
