Philip Petruzzelli
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.
Philip Petruzzelli, who also goes by Phil Petruzzelli, Philip Anthony Petruzzelli, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1986. Philip had worked at 13 firms and has passed the Series 63, SIE, 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
June 2, 2021 - April 7, 2026
MORGAN STANLEY
October 19, 2017 - April 4, 2019
MORGAN STANLEY
January 2, 2015 - December 21, 2015
SG AMERICAS SECURITIES, LLC
March 28, 2005 - January 2, 2015
NEWEDGE USA, LLC
December 5, 2003 - March 15, 2005
UBS SECURITIES LLC
July 20, 2001 - December 5, 2003
ABN AMRO INCORPORATED
July 12, 1999 - March 1, 2002
ABN AMRO SECURITIES LLC
June 7, 1999 - July 16, 1999
DEUTSCHE BANK SECURITIES INC.
March 14, 1996 - June 7, 1999
DB ALEX. BROWN LLC
September 22, 1993 - March 6, 1996
FIDELITY BROKERAGE SERVICES LLC
April 16, 1990 - March 6, 1996
NATIONAL FINANCIAL SERVICES LLC
November 29, 1989 - June 11, 1990
HORIZONS INTERNATIONAL CORPORATION
September 19, 1989 - October 10, 1989
CITIGROUP GLOBAL MARKETS INC.
May 27, 1986 - July 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
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.
