Jacques P. Chappuis
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.
Jacques Philippe Chappuis, who also goes by Jacques P Chappuis, Jacques Philppe Chappuis, was a registered financial professional .
Jacques is a previously registered financial professional and started their career in finance in 1988. Jacques had worked at 6 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
October 24, 2016 - April 9, 2025
MORGAN STANLEY & CO. LLC
May 4, 2016 - April 9, 2025
MORGAN STANLEY DISTRIBUTION, INC.
August 14, 2013 - December 31, 2015
TCG SECURITIES, L.L.C.
June 26, 2009 - June 4, 2013
MORGAN STANLEY DISTRIBUTION, INC.
June 1, 2009 - August 5, 2009
MORGAN STANLEY
November 8, 2006 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 12, 2004 - August 25, 2006
CITIGROUP GLOBAL MARKETS INC.
December 20, 1988 - January 18, 1989
THE STUART-JAMES COMPANY, INCORPORATED
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 & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| HIRSHORN, WILLIAM DAVID | PRINCIPAL OPERATIONS OFFICER | 1564223 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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