Roy T. Cogdell
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.
Roy T Cogdell, who also goes by Roy Thomas Cogdell Jr, Roy T Cogdell Jr, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1986. Roy had worked at 17 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2023 - August 24, 2026
MORGAN STANLEY
November 18, 2020 - September 5, 2023
E*TRADE SECURITIES LLC
August 7, 2017 - December 31, 2020
CAPE SECURITIES INC.
April 28, 2017 - November 12, 2020
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
June 6, 2016 - April 27, 2017
IFS SECURITIES
March 4, 2015 - June 3, 2016
NATALLIANCE SECURITIES, LLC
August 24, 2011 - May 23, 2013
TEJAS SECURITIES GROUP, INC.
February 7, 2011 - August 12, 2011
WOODSTOCK FINANCIAL GROUP, INC.
June 27, 2001 - February 8, 2011
HAPOALIM SECURITIES USA, INC.
March 31, 1997 - June 27, 2001
HERZOG, HEINE, GEDULD, LLC
October 23, 1996 - March 4, 1997
LABRANCHE FINANCIAL SERVICES, LLC
May 9, 1995 - October 8, 1996
PPI EMPLOYEE BENEFITS CORPORATION
April 7, 1994 - March 16, 1995
CITIGROUP GLOBAL MARKETS INC.
September 18, 1991 - February 8, 1994
HOWE BARNES HOEFER & ARNETT, INC.
October 27, 1986 - September 13, 1991
J.P. MORGAN SECURITIES LLC
June 16, 1986 - July 23, 1987
UNIVERSAL SECURITIES OF AMERICA, INC.
June 9, 1986 - June 10, 1986
BROOKS WEINGER ROBBINS & LEEDS 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
What does exam status mean?
Series 57TO
Passed: 1/2/2023
Securities Trader ExamCurrent 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 | 2,703,720 |
| AUM (Assets Under Management) | $ 1,961,887,313,229 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 118 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/11/2026 | ||
| 08/20/2025 | ||
| 07/23/2024 |
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.
