Noelle L. Hallman

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CRD#: 1832507

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.

Noelle Lisette Hallman, who also goes by Noelle L Hallman, Noelle Lisette Ruysschaert, was a registered financial professional .

Noelle is a previously registered financial professional and started their career in finance in 1988. Noelle had worked at 10 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Noelle L Hallman | Noelle Lisette Ruysschaert

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. University of San Diego; Not Investment related; Teaching; Independent Contractor (proprietor, partner, officer, director, employee, trustee, agent); Nov 2017; During business hours: 0; After business hours: 8; To teach. 1.The University of San Diego; Investment related No; Teaching; Independent Contractor (proprietor, partner, officer, director, employee, trustee, agent); Jan 2019; During business hours: 0; After business hours: 8; 2. *396909 - University of San Diego; Investment related No; San Diego, California; EducationAdjunct Professor; Teaching Personal Finance (proprietor, partner, officer, director, employee, trustee, agent); June 2020; During business hours: 0; After business hours: 25; Teaching Personal Finance *553219- La Jolla Christian Fellowship; Investment related-No; La Jolla, California; Religious; Finance Committee (proprietor, partner, officer, director, employee, trustee, agent); 05/2023; During business hours: 1; After business hours: 0; Other

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 6, 2018 - January 9, 2024

MORGAN STANLEY

RIA

CRD#: 149777

San Diego, CA

Past

March 27, 2018 - January 9, 2024

MORGAN STANLEY

CRD#: 149777

San Diego, CA

Past

January 7, 2016 - March 22, 2018

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

TRABUCO CANYON, CA

Past

November 14, 2011 - March 6, 2014

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

January 3, 2011 - October 26, 2011

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

January 9, 2006 - November 10, 2009

J.P. MORGAN INVESTMENT MANAGEMENT INC.

RIA

CRD#: 107038

NEW YORK, NY

Past

July 7, 2004 - December 31, 2005

JPMORGAN ASSET MANAGEMENT

RIA

CRD#: 107247

COLUMBUS, OH

Past

September 15, 2003 - January 3, 2011

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

SAN FRANCISCO, CA

Past

October 11, 1993 - November 5, 1996

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

October 11, 1993 - January 3, 2001

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

May 25, 1988 - October 24, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MORGAN STANLEY

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/9/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/5/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/5/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/13/2003

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 6/27/1988

National Commodity Futures Examination

Current Firm

MORGAN STANLEY

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

2000 Westchester Avenue, Purchase, NY 10577-2530

Mailing Address

1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231

Phone number

(914) 225-1000

Established

Delaware since 02/02/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

29,200

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRIVATE WEALTH MANAGEMENT CONSULTING SERVICES PROGRAM BROCHURE (11/6/2025)

PORTFOLIO MANAGEMENT AND INSTITUTIONAL CASH ADVISORY PROGRAM BROCHURE (10/24/2025)

SELECT UMA PROGRAM BROCHURE (10/24/2025)

FINANCIAL PLANNING SERVICES PROGRAM BROCHURE (10/22/2025)

CONSULTING GROUP ADVISOR PROGRAM BROCHURE (10/17/2025)

SEPARATE MANAGED ACCOUNT WRAP PROGRAM BROCHURE (10/17/2025)

SEPARATE MANAGED ACCOUNT COMMISSION-BASED PROGRAM BROCHURE (10/17/2025)

INSTITUTIONAL SERVICES PROGRAM BROCHURE (3/28/2025)

MORGAN STANLEY CORE PORTFOLIOS (3/28/2025)

ALTERNATIVE INVESTMENTS WRAP PROGRAM BROCHURE (3/28/2025)

ACCESS INVESTING PROGRAM BROCHURE (3/28/2025)

OUTSOURCED CHIEF INVESTMENT OFFICE (OCIO) (3/28/2025)

GRAYSTONE CONSULTING PROGRAM BROCHURE (3/28/2025)

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	Cover Page	Report
07/23/2024	Cover Page	Report
08/24/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Noelle L. Hallman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

PATRICK CAPITAL MARKETS, LLC

VANGUARD MARKETING CORPORATION

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

J.P. MORGAN INVESTMENT MANAGEMENT INC.

JPMORGAN ASSET MANAGEMENT

JPMORGAN DISTRIBUTION SERVICES, INC.

SIGNATOR INVESTORS, INC.

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 65

Date: 10/9/2018

Series 66

Date: 6/5/2004

Series 63

Date: 12/5/2003

SIE

Date: 10/1/2018

Series 7

Date: 9/13/2003

Series 3

Date: 6/27/1988

Current Firm

MORGAN STANLEY

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MORGAN STANLEY

TRUST BUT VERIFY

Contact information

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