Caesar M. Silvestro
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.
Caesar Michael Silvestro, who also goes by Caesar Michael Silvestro Jr, Caesar Michael Silvestro, was a registered financial professional .
Caesar is a previously registered financial professional and started their career in finance in 1989. Caesar had worked at 14 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2019 - June 16, 2026
MORGAN STANLEY
August 23, 2019 - June 16, 2026
MORGAN STANLEY
January 9, 2015 - September 16, 2016
BBVA SECURITIES INC.
April 6, 2012 - December 26, 2014
JANNEY MONTGOMERY SCOTT LLC
March 21, 2011 - December 5, 2011
MF GLOBAL INC.
September 16, 2009 - February 22, 2011
CHAPDELAINE TULLETT PREBON, LLC
May 19, 2006 - January 26, 2007
SAMCO CAPITAL MARKETS, INC.
June 15, 2005 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
May 25, 2004 - June 24, 2005
BGC FINANCIAL, L.P.
April 26, 2000 - May 2, 2001
NATIONAL FINANCIAL SERVICES LLC
July 12, 1996 - April 19, 2000
MORGAN STANLEY DW INC.
June 15, 1994 - February 5, 1996
BARCLAYS CAPITAL INC.
September 30, 1993 - June 13, 1994
DEUTSCHE BANK SECURITIES INC.
January 21, 1993 - September 30, 1993
DEUTSCHE BANK GOVERNMENT SECURITIES, INC
October 25, 1989 - January 11, 1993
DEUTSCHE BANK CAPITAL CORPORATION
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 7TO
Date: 8/23/2019
General Securities Representative ExaminationCurrent 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 | 116 |
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.
