Michael G. Connor
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.
Michael Greg Connor was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 18 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2013 - August 24, 2016
MORGAN STANLEY
February 21, 2013 - August 24, 2016
MORGAN STANLEY
February 2, 2012 - December 10, 2012
GRACE FINANCIAL GROUP LLC
May 19, 2009 - October 28, 2011
HARRISDIRECT LLC
May 8, 2006 - October 28, 2011
E*TRADE SECURITIES LLC
March 28, 2006 - May 8, 2006
BROWNCO, LLC
January 19, 2006 - March 27, 2006
INVEST FINANCIAL CORPORATION
January 12, 2006 - March 27, 2006
INVEST FINANCIAL CORPORATION
February 16, 2005 - January 4, 2006
BROWNCO, LLC
August 7, 2003 - July 2, 2004
GUNNALLEN FINANCIAL, INC
November 11, 2002 - August 20, 2003
T. ROWE PRICE INVESTMENT SERVICES, INC.
April 2, 2002 - August 2, 2002
CALTON & ASSOCIATES, INC.
November 26, 2001 - March 28, 2002
IDS LIFE INSURANCE COMPANY
November 26, 2001 - March 28, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
September 19, 2000 - March 13, 2001
H.C.WAINWRIGHT & CO., LLC
November 4, 1997 - September 5, 2000
SOUTHTRUST SECURITIES, LLC
September 30, 1994 - October 16, 1997
SCOTTRADE, INC.
March 8, 1994 - June 3, 1994
SALOMON BROTHERS INC.
March 8, 1993 - June 7, 1993
CHARLES SCHWAB & CO., INC.
December 12, 1991 - August 14, 1992
TD AMERITRADE, INC.
August 23, 1991 - September 10, 1991
J. W. GANT & ASSOCIATES, 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
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.
