Andrew Wasserman
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.
Andrew Wasserman, who also goes by Andrew Seth Wasserman, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1987. Andrew had worked at 13 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2009 - December 10, 2013
MORGAN STANLEY
June 1, 2009 - December 10, 2013
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 13, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
March 10, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
June 11, 1999 - March 23, 2006
CITIGROUP GLOBAL MARKETS INC.
June 9, 1999 - March 23, 2006
CITIGROUP GLOBAL MARKETS INC.
December 9, 1997 - June 9, 1999
GRUNTAL & CO., L.L.C.
May 16, 1995 - December 12, 1997
ADVEST, INC.
January 3, 1994 - May 4, 1995
JWGENESIS SECURITIES, INC.
October 15, 1992 - January 3, 1994
JW GENESIS CLEARING CORP.
September 28, 1990 - October 13, 1992
PRUDENTIAL EQUITY GROUP, LLC
April 29, 1988 - October 2, 1990
UBS FINANCIAL SERVICES INC.
July 20, 1987 - May 11, 1988
MOORE & SCHLEY, CAMERON & CO.
June 17, 1987 - January 28, 1988
GMS GROUP
February 24, 1987 - June 19, 1987
RLR SECURITIES GROUP, 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
Series 8
Date: 9/29/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
