Anne P. Kaspar
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.
Anne Patricia Kaspar, who also goes by Anne Patricia Kasper, was a registered financial advisor .
Anne is a previously registered financial advisor and started their career in finance in 1986. Anne had worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 31, 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
December 3, 2003 - May 28, 2004
MORGAN STANLEY DW INC.
October 31, 2003 - May 28, 2004
MORGAN STANLEY DW INC.
April 17, 1996 - October 19, 1998
LAIDLAW GLOBAL SECURITIES, INC.
September 19, 1991 - March 15, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 1990 - September 4, 1991
GLEACHER & COMPANY SECURITIES, INC.
February 2, 1989 - January 4, 1990
J.P. MORGAN SECURITIES LLC
January 18, 1988 - February 6, 1989
CIBC WORLD MARKETS CORP.
June 26, 1986 - January 27, 1988
LEHMAN BROTHERS INC.
March 6, 1986 - June 25, 1986
EQUITABLE SECURITIES OF NEW YORK,INC.
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 DW INC.
CRD#: 7556 / SEC#: , 8-14172
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | PARENT | |
| CHENG, NOLAND | CHIEF OPERATIONS OFFICER | 2072097 |
| CIMINERA, LAURA | CROP | 1388279 |
| GELFAND, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER | |
| GORMAN, JAMES PATRICK | PRESIDENT,CHIEF OPERATING OFFICER,CHIEF EXECUTIVE OFFICER | 4026328 |
| GUEREN, RICHARD DANIEL | SROP, EXECUTIVE DIRECTOR | 1146589 |
| HANAN, SHELLEY SUZANNE | DIRECTOR | 1327260 |
| HARRIS, RAYMOND ALBERT JR | DIRECTOR | 1363371 |
| KNAPP, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | 2514353 |
| MCMAHON, WILLIAM A | MANAGING DIRECTOR | 703705 |
| OROSCHAKOFF, MICHELLE | COMPLIANCE DIRECTOR FOR BROKER DEALER | 2403199 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL, MANAGING DIRECTOR, DIRECTOR |
Disclosures
| Regulatory Event | 152 |
| Arbitration | 606 |
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.
