April Miller
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.
April Miller, who also goes by April Lydann Hutchinson, April Lydann Lippel, April Lydann Miller, was a registered financial professional .
April is a previously registered financial professional and started their career in finance in 1994. April had worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2018 - October 28, 2021
MORGAN STANLEY
August 6, 2018 - October 28, 2021
MORGAN STANLEY
July 13, 2018 - August 15, 2018
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 6, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
February 11, 2015 - July 31, 2018
FIDELITY BROKERAGE SERVICES LLC
May 5, 2011 - February 10, 2015
BANCWEST INVESTMENT SERVICES, INC.
May 4, 2011 - February 10, 2015
BANCWEST INVESTMENT SERVICES, INC.
February 18, 2010 - May 12, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
February 18, 2010 - May 12, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
August 4, 2009 - January 14, 2010
WADDELL & REED
August 4, 2009 - January 14, 2010
WADDELL & REED
April 7, 2005 - May 4, 2009
U.S. BANCORP INVESTMENTS, INC.
March 8, 2005 - May 4, 2009
U.S. BANCORP INVESTMENTS, INC.
April 11, 2003 - February 4, 2005
CITICORP INVESTMENT SERVICES
October 29, 2002 - April 11, 2003
U.S. BANCORP INVESTMENTS, INC.
January 14, 1999 - February 21, 2003
FISERV INVESTOR SERVICES, INC.
July 24, 1998 - January 13, 1999
PRUCO SECURITIES, LLC.
October 21, 1994 - May 22, 1998
SHARE KING, LLC
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 52TO
Date: 1/2/2023
Municipal Securities Representative 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.
