James E. Hennis
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.
James Edward Hennis was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1967. James had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 000, Series 1, Series 9, Series 4, Series 10, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2009 - December 17, 2021
MORGAN STANLEY
June 1, 2009 - December 17, 2021
MORGAN STANLEY
February 1, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 1, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 8, 1997 - February 22, 2008
UBS FINANCIAL SERVICES INC.
August 26, 1993 - February 22, 2008
UBS FINANCIAL SERVICES INC.
March 26, 1990 - September 23, 1993
INVEST FINANCIAL CORPORATION
July 29, 1988 - October 18, 1988
SAVERS' FINANCIAL SERVICES
May 22, 1987 - May 13, 1989
USLIFE EQUITY SALES CORP.
May 15, 1984 - June 19, 1985
THE SEIDLER COMPANIES INCORPORATED
May 9, 1972 - May 21, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
October 3, 1967 - June 12, 1972
SHEARSON, HAMMILL & CO., INCORPORATED
September 29, 1967 - May 29, 1984
BATEMAN EICHLER, HILL RICHARDS, 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 000
Date: 9/29/1967
General Securities Principal ExaminationSeries 1
Date: 9/29/1967
Registered Representative ExaminationSeries 40
Date: 1/31/1977
Registered Principal ExaminationSeries 12
Date: 2/22/1973
NYSE Branch Manager 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.
