James E. Donovan
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.
James E Donovan, who also goes by James Edmund Donovan Jr, James Edmund Donovan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 17 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2013 - October 3, 2014
MORGAN STANLEY
February 18, 2013 - October 3, 2014
MORGAN STANLEY
April 24, 2009 - September 18, 2009
TRUIST INVESTMENT SERVICES, INC.
April 24, 2009 - September 18, 2009
TRUIST INVESTMENT SERVICES, INC.
August 8, 2007 - February 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 4, 2007 - February 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 1998 - April 1, 1999
CHEVY CHASE FINANCIAL SERVICES
June 24, 1997 - April 28, 1998
CITICORP INVESTMENT SERVICES
January 6, 1997 - March 18, 1997
PREFERRED SECURITIES GROUP, INC.
October 8, 1996 - January 6, 1997
BARRON CHASE SECURITIES, INC.
March 7, 1996 - September 16, 1996
CITICORP INVESTMENT SERVICES
August 18, 1995 - March 5, 1996
GRUNTAL & CO., L.L.C.
July 14, 1994 - August 22, 1995
AMERICORP SECURITIES, INC.
October 11, 1992 - July 22, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 1991 - October 20, 1992
LEHMAN BROTHERS INC.
October 18, 1990 - May 16, 1991
CIBC WORLD MARKETS CORP.
June 5, 1990 - June 15, 1990
MARSH, BLOCK & CO. INC.
February 1, 1990 - October 18, 1990
CASTLE SECURITIES CORP.
June 26, 1989 - May 14, 1990
FIRST MONTAUK SECURITIES CORP.
February 28, 1989 - June 21, 1989
J. T. MORAN & CO., INC.
October 27, 1988 - March 10, 1989
INVESTORS CENTER, INC.
June 21, 1988 - October 3, 1988
MADISON CHAPIN ASSOCS., 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
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.
