Guy E. Heald
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.
Guy Estabrooke Heald III, who also goes by Guy Estabrooke Heald, was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1972. Guy had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 41, Series 000, Series 1, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2016 - August 26, 2022
MORGAN STANLEY
October 14, 2016 - August 26, 2022
MORGAN STANLEY
August 14, 2007 - October 17, 2016
WELLS FARGO CLEARING SERVICES, LLC
August 10, 2007 - October 17, 2016
WELLS FARGO CLEARING SERVICES, LLC
November 4, 2003 - August 23, 2007
RBC CAPITAL MARKETS, LLC
March 9, 2002 - August 23, 2007
RBC CAPITAL MARKETS, LLC
April 3, 2001 - March 9, 2002
TUCKER ANTHONY INCORPORATED
October 10, 2000 - April 12, 2001
LEHMAN BROTHERS INC.
July 1, 1998 - October 18, 2000
COWEN AND COMPANY
October 31, 1988 - July 1, 1998
FINANCIAL SQUARE PARTNERS
July 15, 1986 - August 3, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
April 28, 1983 - July 14, 1986
MOSELEY SECURITIES CORPORATION
February 23, 1982 - April 29, 1983
A. G. EDWARDS & SONS, INC.
March 23, 1981 - February 4, 1982
BURBANK & COMPANY, INC.
June 7, 1976 - April 26, 1981
BURGESS & LEITH INCORPORATED
May 1, 1972 - August 14, 1976
HORNBLOWER & WEEKS - HEMPHILL, NOYES 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 41
Date: 2/22/1984
NYSE Allied Member ExaminationSeries 000
Date: 5/25/1972
General Securities Principal ExaminationSeries 1
Date: 4/24/1972
Registered Representative ExaminationSeries 12
Date: 4/28/1979
NYSE Branch Manager ExaminationSeries 40
Date: 8/26/1978
Registered Principal 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.
