Jeffrey J. Chase
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.
Jeffrey Jonathan Chase, who also goes by Jeff Chase, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1989. Jeffrey had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2018 - November 2, 2022
MORGAN STANLEY
February 21, 2018 - November 2, 2022
MORGAN STANLEY
January 3, 2011 - January 9, 2017
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
February 23, 2009 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
July 26, 2007 - December 4, 2008
VOYA FINANCIAL PARTNERS, LLC
March 12, 2007 - July 13, 2007
NEWPORT GROUP SECURITIES, INC.
February 26, 2002 - March 20, 2006
CERIDIAN BROKER DEALER, INC.
April 17, 2001 - December 11, 2001
LASALLE ST SECURITIES, L.L.C.
November 8, 1995 - August 15, 2000
ADP BROKER-DEALER, INC.
May 28, 1992 - September 22, 1994
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
July 31, 1989 - August 23, 1991
CITISTREET EQUITIES LLC
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.
