Gary J. Kashdan
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.
Gary Jay Kashdan was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1984. Gary had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2017 - July 17, 2019
MORGAN STANLEY
May 30, 2017 - July 17, 2019
MORGAN STANLEY
August 12, 2014 - October 25, 2016
MORGAN STANLEY
August 4, 2014 - October 25, 2016
MORGAN STANLEY
March 12, 2014 - April 22, 2015
UNITED CAPITAL FINANCIAL ADVISORS
February 13, 2013 - April 22, 2013
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - April 22, 2013
RAYMOND JAMES & ASSOCIATES, INC.
April 26, 2007 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
April 23, 2007 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
April 21, 2003 - March 22, 2005
CREATIVE FINANCIAL GROUP LTD
February 24, 2003 - April 4, 2007
SYNOVUS SECURITIES, INC.
September 6, 2002 - April 4, 2007
SYNOVUS SECURITIES, INC.
January 24, 2002 - August 28, 2002
CITIGROUP GLOBAL MARKETS INC.
October 5, 1995 - May 24, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
February 15, 1994 - March 6, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 15, 1994 - March 6, 1997
OSAIC FA, INC.
October 8, 1993 - January 11, 1994
MERIDIAN, DUNHILL & CO., INC.
October 5, 1990 - October 13, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 5, 1990 - October 13, 1993
OSAIC FA, INC.
August 23, 1985 - October 16, 1990
NEW ENGLAND SECURITIES
September 24, 1984 - May 14, 1985
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
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.
