Deborra L. Barbee
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.
Deborra L Barbee, who also goes by Deborah L Barbee, Deborra L Barbee, Deborra Lee Barbee, Deborra Lee Gall, was a registered financial professional .
Deborra is a previously registered financial professional and started their career in finance in 1993. Deborra had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 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
May 12, 2017 - March 6, 2026
MORGAN STANLEY
May 12, 2017 - March 6, 2026
MORGAN STANLEY
February 12, 2014 - February 21, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 24, 2014 - February 21, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 26, 2011 - December 19, 2013
OSAIC INSTITUTIONS, INC.
July 12, 2011 - December 19, 2013
OSAIC INSTITUTIONS, INC.
February 5, 2008 - July 18, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
January 30, 2008 - July 18, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
April 3, 2007 - January 25, 2008
TRUIST INVESTMENT SERVICES, INC.
March 20, 2007 - January 25, 2008
TRUIST INVESTMENT SERVICES, INC.
March 2, 2006 - February 23, 2007
OSAIC INSTITUTIONS, INC.
February 9, 2006 - February 23, 2007
OSAIC INSTITUTIONS, INC.
June 20, 1997 - February 1, 2006
TRUIST INVESTMENT SERVICES, INC.
June 18, 1997 - February 1, 2006
TRUIST INVESTMENT SERVICES, INC.
November 10, 1994 - July 3, 1997
BARNETT INVESTMENTS, INC.
May 18, 1993 - June 10, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
