Steven R. Grant
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.
Steven Ronald Grant was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1972. Steven had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 5, Series 7 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 - September 28, 2021
MORGAN STANLEY
June 1, 2009 - September 28, 2021
MORGAN STANLEY
January 18, 2001 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 18, 2001 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 3, 1988 - April 18, 1995
CIBC WORLD MARKETS CORP.
June 2, 1982 - January 25, 2001
CIBC WORLD MARKETS CORP.
November 14, 1980 - June 10, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 31, 1980 - November 13, 1980
UBS FINANCIAL SERVICES INC.
July 21, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 25, 1977 - December 20, 1983
MUNICIPAL INVESTORS SERVICE, INC.
January 9, 1973 - January 15, 1974
EDWARD & HANLEY
June 15, 1972 - February 15, 1974
CUSTODIAN SECURITY BROKERAGE CORP.
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: 4/30/2024
General Securities Representative ExaminationSeries 5
Date: 10/14/1981
Interest Rate Options ExaminationSeries 1
Date: 1/4/1973
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.
