Tom R. Lekowski
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.
Tom Richard Lekowski, who also goes by Thomas Richard Lekowski, was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 1985. Tom had worked at 18 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2016 - May 6, 2026
MORGAN STANLEY
December 18, 2015 - May 6, 2026
MORGAN STANLEY
December 9, 2013 - October 16, 2015
BLUEROCK CAPITAL MARKETS LLC
November 19, 2010 - November 15, 2013
TOUCHSTONE ADVISORS INC
November 18, 2010 - November 15, 2013
TOUCHSTONE SECURITIES, LLC
June 10, 2010 - November 4, 2010
TD AMERITRADE, INC.
June 10, 2010 - November 4, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 17, 2010 - November 4, 2010
TD AMERITRADE, INC.
February 11, 2008 - May 4, 2010
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 13, 2003 - January 29, 2008
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 24, 2003 - June 13, 2003
PRUCO SECURITIES, LLC.
December 1, 1999 - November 4, 2002
MFS FUND DISTRIBUTORS, INC.
June 22, 1998 - October 18, 1999
REPUBLIC FINANCIAL SERVICES CORPORATION
January 16, 1998 - May 26, 1998
NUVEEN SECURITIES, LLC
January 19, 1996 - March 20, 1997
ESSEX NATIONAL SECURITIES, LLC
November 18, 1994 - July 12, 1995
U.S. BANCORP ADVISORS, LLC
April 21, 1993 - November 11, 1994
INVEST FINANCIAL CORPORATION
December 18, 1991 - December 3, 1992
LEHMAN BROTHERS INC.
September 10, 1986 - June 29, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
September 24, 1985 - September 26, 1986
PROFESSIONAL BROKERAGE SERVICES 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 | 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.
