Eric S. Townsend
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.
Eric S Townsend, who also goes by Eric S Townsend, Eric Solomon Townsend, Eric Townsend, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1993. Eric had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2017 - May 7, 2026
MORGAN STANLEY
December 4, 2017 - May 7, 2026
MORGAN STANLEY
August 29, 2013 - November 9, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 2013 - November 9, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 10, 2011 - August 28, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
October 7, 2011 - August 28, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
March 25, 2010 - March 31, 2011
CHASE INVESTMENT SERVICES CORP.
March 25, 2010 - March 31, 2011
CHASE INVESTMENT SERVICES CORP.
September 22, 2005 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 22, 2005 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 19, 2003 - May 4, 2005
STRATEGIC ADVISERS LLC
March 12, 2003 - May 4, 2005
FIDELITY BROKERAGE SERVICES LLC
January 2, 2003 - February 28, 2003
MOMENTUM INDEPENDENT NETWORK INC.
February 13, 2001 - December 31, 2002
MOMENTUM INDEPENDENT NETWORK INC.
February 13, 2001 - February 28, 2003
MOMENTUM INDEPENDENT NETWORK INC.
November 12, 1993 - March 7, 2001
QUICK & REILLY, 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 | 116 |
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.
