Andrew C. Deprimio
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.
Andrew Christopher Deprimio, who also goes by Andrew C Deprimio, Andrew Chris Deprimio, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1985. Andrew had worked at 8 firms and has passed the Series 63, Series 52TO, Series 72, SIE, Series 3, Series 5, Series 7, Series 6, Series 53, Series 30, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2020 - February 3, 2026
MORGAN STANLEY
January 17, 2020 - February 3, 2026
MORGAN STANLEY
April 4, 2016 - January 23, 2020
WELLS FARGO CLEARING SERVICES, LLC
April 1, 2016 - January 23, 2020
WELLS FARGO CLEARING SERVICES, LLC
June 27, 2007 - April 15, 2016
WEDBUSH SECURITIES INC.
May 5, 1997 - June 29, 2007
BROOKSTREET SECURITIES CORPORATION
June 17, 1992 - May 8, 1997
GLOBALVEST SECURITIES, (USA), INC
July 27, 1987 - January 25, 1991
SANWA SECURITIES (USA) CO., L.P.
May 22, 1986 - January 25, 1991
SANWA UNIVERSAL SECURITIES CO., LLC
November 27, 1985 - May 23, 1986
BNY MELLON SECURITIES 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 5
Date: 3/13/1987
Interest Rate Options ExaminationCurrent 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 | 116 |
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.
