Lori A. Michaelson
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.
Lori Anne Michaelson, who also goes by Lori Anne Canfield, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1993. Lori had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2015 - January 12, 2026
MORGAN STANLEY
August 12, 2013 - January 12, 2026
MORGAN STANLEY
July 22, 2010 - June 17, 2013
NEXT FINANCIAL GROUP, INC.
March 25, 2008 - August 20, 2009
CHARLES SCHWAB & CO., INC.
July 24, 2006 - December 31, 2006
PINNACLE FINANCIAL GROUP, LLC
January 23, 2006 - July 17, 2006
FIVE X SECURITIES, LLC
February 27, 2004 - August 15, 2005
RBC CAPITAL MARKETS, LLC
January 30, 2003 - February 27, 2004
WILLIAM R. HOUGH & CO.
November 1, 2000 - January 23, 2002
MORGAN STANLEY DW INC.
May 24, 1996 - November 1, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
January 11, 1995 - June 17, 1996
ACUMENT SECURITIES, INC.
June 28, 1993 - June 8, 1994
STEIN, SHORE 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
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.
