William M. Ennis
Professional summary
William Michael Ennis was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, William had worked at 5 firms, which includes MORGAN STANLEY & CO. LLC, GLOBAL ALTERNATIVE INVESTMENT SERVICES INC., FIRST UNION BROKERAGE SERVICES INC., COLONIAL INVESTMENT SERVICES, PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2003 - October 8, 2004
MORGAN STANLEY & CO. LLC
March 28, 1997 - June 30, 2003
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
July 8, 1994 - March 20, 1997
FIRST UNION BROKERAGE SERVICES, INC.
September 12, 1990 - May 23, 1994
COLONIAL INVESTMENT SERVICES
December 3, 1984 - September 26, 1988
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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 & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| HIRSHORN, WILLIAM DAVID | PRINCIPAL OPERATIONS OFFICER | 1564223 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
Red Flags
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