Vanessa Magno
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.
Vanessa Magno, who also goes by Joy Magno, Vanessa P Magno, Vanessa Palencia Magno, was a registered financial professional .
Vanessa is a previously registered financial professional and started their career in finance in 1994. Vanessa had worked at 9 firms and has passed the Series 66, 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
October 8, 2018 - May 11, 2026
MORGAN STANLEY
October 8, 2018 - May 11, 2026
MORGAN STANLEY
March 25, 2017 - October 11, 2018
MML INVESTORS SERVICES, LLC
March 25, 2017 - October 11, 2018
MML INVESTORS SERVICES, LLC
February 28, 2017 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
February 28, 2017 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
February 25, 2014 - February 9, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
January 8, 2014 - February 9, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
June 28, 2012 - December 3, 2012
U.S. GLOBAL BROKERAGE, INC.
December 7, 2005 - August 8, 2011
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - August 8, 2011
FRANKLIN DISTRIBUTORS, LLC
November 3, 2005 - December 19, 2005
CITIGROUP GLOBAL MARKETS INC.
February 9, 1999 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
October 28, 1994 - March 18, 1996
FINANCIAL SQUARE PARTNERS
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.
