Mark R. Fried
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.
Mark Ross Fried was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1970. Mark had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 000, Series 1, Series 4, Series 40 and Series 12 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 - October 16, 2014
MORGAN STANLEY
June 1, 2009 - October 16, 2014
MORGAN STANLEY
August 29, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 29, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 14, 1999 - September 12, 2008
UBS FINANCIAL SERVICES INC.
June 11, 1999 - September 12, 2008
UBS FINANCIAL SERVICES INC.
February 2, 1994 - June 12, 1999
RAYMOND JAMES & ASSOCIATES, INC.
July 7, 1992 - January 31, 1994
CITIGROUP GLOBAL MARKETS INC.
August 24, 1991 - July 6, 1992
FIRST-MED INVESTMENT CORP.
November 15, 1990 - August 27, 1991
NETWORK 1 FINANCIAL SECURITIES INC.
January 24, 1989 - October 1, 1990
LEHMAN BROTHERS INC.
March 27, 1986 - January 24, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
July 23, 1982 - March 24, 1986
ADVEST, INC.
January 16, 1978 - August 2, 1982
BUTCHER & SINGER INC.
September 16, 1977 - February 14, 1978
PRUDENTIAL EQUITY GROUP, LLC
August 3, 1976 - September 16, 1977
SHIELDS MODEL ROLAND INCORPORATED
September 2, 1970 - October 7, 1976
JII SECURITIES INC.
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: 10/23/1981
Interest Rate Options ExaminationSeries 000
Date: 11/26/1969
General Securities Principal ExaminationSeries 1
Date: 11/26/1969
Registered Representative ExaminationSeries 40
Date: 12/10/1977
Registered Principal ExaminationSeries 12
Date: 11/5/1977
NYSE Branch Manager 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.
