James E. Turner
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 Everett Turner, who also goes by Jim Turner, Jt Turner, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 18 firms and has passed the Series 66, Series 63, Series 31 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
November 7, 2011 - September 21, 2012
MORGAN STANLEY
October 12, 2011 - September 21, 2012
MORGAN STANLEY
December 15, 2006 - August 13, 2007
LPL FINANCIAL LLC
November 28, 2006 - August 13, 2007
LPL FINANCIAL LLC
September 23, 2005 - March 13, 2006
A. G. EDWARDS & SONS, INC.
September 20, 2005 - March 13, 2006
A. G. EDWARDS & SONS, INC.
August 16, 2005 - October 4, 2005
PARK AVENUE SECURITIES LLC
May 18, 2005 - August 3, 2005
OSAIC FA, INC.
May 16, 2005 - August 3, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 16, 2005 - August 3, 2005
OSAIC FA, INC.
January 2, 2001 - March 4, 2005
MM ASCEND LIFE INVESTOR SERVICES, LLC
August 23, 1999 - January 4, 2001
KEYBANC CAPITAL MARKETS INC.
August 2, 1995 - August 28, 1997
CONSECO SECURITIES, INC.
September 12, 1994 - June 30, 1995
FINANCIAL HORIZONS SECURITIES CORPORATION
January 22, 1993 - December 23, 1993
BROOKSTREET SECURITIES CORPORATION
May 19, 1992 - March 12, 1993
FINANCIAL HORIZONS SECURITIES CORPORATION
October 7, 1991 - November 29, 1991
IFMG SECURITIES, INC.
January 12, 1990 - October 24, 1991
LPL FINANCIAL LLC
October 23, 1989 - January 18, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 23, 1989 - January 18, 1990
EQUITABLE ADVISORS, LLC
September 16, 1988 - March 7, 1989
LESHNER FINANCIAL SERVICES, INC.
November 3, 1987 - September 20, 1988
INVEST FINANCIAL CORPORATION
August 24, 1987 - November 18, 1987
I.M. SIMON & CO., INC.
December 17, 1985 - August 1, 1987
MORGAN STANLEY DW 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.
