Tiffany C. O'toole
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.
Tiffany Claudine O'toole, who also goes by Tiffany Claudine Otoole, was a registered financial professional .
Tiffany is a previously registered financial professional and started their career in finance in 1993. Tiffany had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10, Series 24, Series 8 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
December 21, 2022 - August 24, 2023
MORGAN STANLEY
December 21, 2022 - August 24, 2023
MORGAN STANLEY
October 13, 2015 - November 29, 2022
MORGAN STANLEY
October 13, 2015 - November 29, 2022
MORGAN STANLEY
April 16, 2014 - May 16, 2014
LPL FINANCIAL LLC
April 14, 2014 - May 16, 2014
LPL FINANCIAL LLC
February 16, 2011 - April 17, 2014
ENSEMBLE FINANCIAL SERVICES, INC.
December 19, 2006 - February 15, 2011
CREDIT SUISSE SECURITIES (USA) LLC
May 2, 2006 - February 15, 2011
CREDIT SUISSE SECURITIES (USA) LLC
August 19, 2005 - May 9, 2006
BNY INVESTMENT CENTER INC.
December 19, 2001 - September 11, 2003
QUICK & REILLY, INC.
November 10, 1998 - May 10, 2001
NEBRASKA HUDSON COMPANY, INC.
March 4, 1998 - October 13, 1998
BLOOMBERG TRADEBOOK LLC
December 22, 1993 - October 7, 1997
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
Series 8
Date: 8/12/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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 | 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.
