Jeffrey N. Sender
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.
Jeffrey Neil Sender was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1994. Jeffrey had worked at 8 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 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 7, 2003 - March 31, 2023
MORGAN STANLEY & CO. LLC
May 13, 2003 - November 3, 2003
CHASE INVESTMENT SERVICES CORP.
May 1, 2001 - May 7, 2003
J.P. MORGAN SECURITIES INC.
April 19, 2001 - May 1, 2001
JPMSI
June 26, 2000 - July 11, 2000
JPMSI
March 7, 2000 - April 25, 2001
J. P. MORGAN ADVISORY SERVICES INC.
November 30, 1999 - March 7, 2000
JPMSI
April 18, 1999 - November 26, 1999
J.P. MORGAN SECURITIES LLC
February 3, 1997 - November 17, 1997
CARLIN EQUITIES, LLC
March 25, 1996 - October 9, 1996
CARLIN EQUITIES, LLC
June 9, 1994 - April 8, 1996
CITIGROUP GLOBAL MARKETS INC.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/18/2002
Limited Representative-Equity Trader ExamCurrent Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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