Thomas L. Berry
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.
Thomas Lee Berry, who also goes by Tom Berry, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 7, Series 000 and Series 1 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 - August 11, 2021
MORGAN STANLEY
June 1, 2009 - August 11, 2021
MORGAN STANLEY
April 5, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 3, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 1, 2003 - April 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - April 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
February 7, 1996 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 26, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 16, 1988 - June 17, 1989
CITIGROUP GLOBAL MARKETS INC.
January 25, 1983 - February 23, 1988
ROTAN MOSLE INC.
February 24, 1978 - February 4, 1983
MORGAN STANLEY DW INC.
April 21, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
November 17, 1972 - June 9, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
November 24, 1971 - November 17, 1972
EASTMAN DILLON, UNION SECURITIES & 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 5
Date: 12/11/1982
Interest Rate Options ExaminationPC
Date: 2/6/1979
AMEX Put and Call ExamSeries 000
Date: 11/23/1971
General Securities Principal ExaminationSeries 1
Date: 11/23/1971
Registered 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 | 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.
