Herbert A. Elsas
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.
Herbert Alan Elsas was a registered financial advisor .
Herbert is a previously registered financial advisor and started their career in finance in 1968. Herbert had worked at 12 firms and has passed the Series 65, Series 63, Series 000, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2009 - July 13, 2010
MORGAN STANLEY
June 1, 2009 - July 13, 2010
MORGAN STANLEY
April 29, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 2, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 16, 1984 - January 2, 2002
THE ROBINSON-HUMPHREY COMPANY, LLC
April 3, 1981 - September 10, 1984
MORGAN STANLEY DW INC.
March 5, 1981 - May 2, 1981
LEHMAN BROTHERS KUHN LOEB INCORPORATED
March 4, 1980 - January 31, 1981
SALOMON BROTHERS INC.
January 6, 1977 - February 2, 1980
DREXEL BURNHAM LAMBERT INCORPORATED
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
August 20, 1974 - February 6, 1976
DREXEL BURNHAM & CO. INCORPORATED
November 30, 1973 - February 6, 1975
GH WALKER LAIRD INCORPORATED
April 27, 1972 - November 30, 1973
G. H. WALKER, LAIRD INCORPORATED
April 19, 1968 - June 15, 1972
BLYTH EASTMAN DILLON & CO. INCORPORATED
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 000
Date: 1/14/1966
General Securities Principal ExaminationSeries 1
Date: 1/14/1966
Registered Representative ExaminationSeries 00
Date: 11/8/1972
General Securities Principal 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 | 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.
