Barbara E. Field-gilroy
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.
Barbara Eileen Field-gilroy, who also goes by Barbara E Field, Barbara E Field-gilroy, Barbara E Gilroy, Barbara Eileen Gilroy, Barbara Gilroy, Barbara E Jacobsen, Barbara Eileen Lisse, Barbara Lisse, Barbara E Lisse Odea, Barbara Eileen Odea, Barbara Odea, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1988. Barbara had worked at 14 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2023 - April 14, 2025
MORGAN STANLEY
January 5, 2023 - April 14, 2025
MORGAN STANLEY
February 25, 2019 - January 11, 2023
CUSO FINANCIAL SERVICES, L.P.
February 25, 2019 - January 11, 2023
CUSO FINANCIAL SERVICES, L.P.
November 6, 2017 - March 8, 2019
J.P. MORGAN SECURITIES LLC
November 6, 2017 - March 8, 2019
J.P. MORGAN SECURITIES LLC
January 5, 2017 - November 1, 2017
STRATEGIC ADVISERS LLC
December 27, 2016 - October 31, 2017
FIDELITY BROKERAGE SERVICES LLC
August 19, 2013 - December 6, 2016
EDWARD JONES
May 22, 2013 - December 6, 2016
EDWARD JONES
January 23, 1991 - October 9, 1991
CONSOLIDATED INVESTMENT SERVICES, INC.
January 12, 1990 - February 12, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 12, 1990 - February 12, 1990
PRUCO SECURITIES, LLC.
January 10, 1990 - December 14, 1990
AMERICAN FRONTEER FINANCIAL CORPORATION
September 26, 1989 - November 29, 1989
A. T. BROD & CO. INC.
July 31, 1989 - October 4, 1989
PACIFIC SOUTHERN SECURITIES, INC.
December 6, 1988 - July 19, 1989
WALL STREET WEST, INC.
September 20, 1988 - December 7, 1988
BLINDER, ROBINSON & CO., INC.
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.
