Allison E. Lintell
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.
Allison Elizabeth Lintell was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 1993. Allison had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 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
September 2, 2011 - April 17, 2017
MORGAN STANLEY
September 2, 2011 - April 17, 2017
MORGAN STANLEY
October 23, 2009 - September 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - September 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 13, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 9, 2002 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 15, 2001 - July 13, 2002
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - July 13, 2002
WELLS FARGO INVESTMENTS, LLC
August 17, 1998 - May 2, 2001
WELLS FARGO SECURITIES INC.
March 22, 1996 - August 20, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 1995 - March 27, 1996
PRUDENTIAL EQUITY GROUP, LLC
March 28, 1994 - May 22, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
December 15, 1993 - March 29, 1994
CHATFIELD DEAN & CO., 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
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.
