James R. Gatto

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CRD#: 1303522

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.

James R Gatto, who also goes by James Richard Gatto, James Gatto, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1984. James had worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 87, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Richard Gatto | James Gatto

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 1, 2009 - April 4, 2023

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

PURCHASE, NY

Past

April 15, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 14, 2001 - April 2, 2004

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

October 20, 1999 - March 1, 2001

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

October 2, 1996 - September 22, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 28, 1995 - July 2, 1996

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

March 11, 1994 - July 2, 1996

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

July 2, 1993 - September 2, 1993

TRADEWINDS SECURITIES CORPORATION

CRD#: 31160

MILL VALLEY, CA

Past

May 31, 1989 - October 6, 1992

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

December 19, 1984 - May 31, 1989

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

SAN DIEGO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MORGAN STANLEY

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/5/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 9/11/2009

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 12/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/17/1995

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/4/1988

Registered Options Principal Examination

Current Firm

MORGAN STANLEY

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

2000 Westchester Avenue, Purchase, NY 10577-2530

Mailing Address

1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231

Phone number

(914) 225-1000

Established

Delaware since 02/02/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

29,200

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRIVATE WEALTH MANAGEMENT CONSULTING SERVICES PROGRAM BROCHURE (11/6/2025)

PORTFOLIO MANAGEMENT AND INSTITUTIONAL CASH ADVISORY PROGRAM BROCHURE (10/24/2025)

SELECT UMA PROGRAM BROCHURE (10/24/2025)

FINANCIAL PLANNING SERVICES PROGRAM BROCHURE (10/22/2025)

CONSULTING GROUP ADVISOR PROGRAM BROCHURE (10/17/2025)

SEPARATE MANAGED ACCOUNT WRAP PROGRAM BROCHURE (10/17/2025)

SEPARATE MANAGED ACCOUNT COMMISSION-BASED PROGRAM BROCHURE (10/17/2025)

INSTITUTIONAL SERVICES PROGRAM BROCHURE (3/28/2025)

MORGAN STANLEY CORE PORTFOLIOS (3/28/2025)

ALTERNATIVE INVESTMENTS WRAP PROGRAM BROCHURE (3/28/2025)

ACCESS INVESTING PROGRAM BROCHURE (3/28/2025)

OUTSOURCED CHIEF INVESTMENT OFFICE (OCIO) (3/28/2025)

GRAYSTONE CONSULTING PROGRAM BROCHURE (3/28/2025)

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	Cover Page	Report
07/23/2024	Cover Page	Report
08/24/2023	Cover Page	Report

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.

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Firm Stability Insights

James R. Gatto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MONY SECURITIES CORPORATION

PRUCO SECURITIES, LLC.

UBS FINANCIAL SERVICES INC.

SPELMAN & CO., INC.

SENTRA SECURITIES CORPORATION

TRADEWINDS SECURITIES CORPORATION

FIRST AFFILIATED SECURITIES

FIRST AFFILIATED SECURITIES, INC.

Primary Firm SEC Registration

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 63

Date: 4/5/1993

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 87

Date: 9/11/2009

Series 7

Date: 12/15/1984

Series 24

Date: 4/17/1995

Series 4

Date: 3/4/1988

Current Firm

MORGAN STANLEY

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MORGAN STANLEY

TRUST BUT VERIFY

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