Rhonda L. Leder
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.
Rhonda Lynn Leder, who also goes by Rhonda L Colbert, Rhonda Lynn Colbert, Rhonda L Cook, Rhonda L Lantis, Rhonda Lynn Leder, Rhonda Leder, was a registered financial professional .
Rhonda is a previously registered financial professional and started their career in finance in 2001. Rhonda had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2019 - July 11, 2022
MORGAN STANLEY
February 4, 2019 - July 11, 2022
MORGAN STANLEY
November 6, 2018 - December 10, 2018
FIRST COMMAND ADVISORY SERVICES
November 6, 2018 - December 10, 2018
FIRST COMMAND BROKERAGE SERVICES, INC.
February 11, 2011 - October 30, 2018
MORGAN STANLEY
June 1, 2009 - October 30, 2018
MORGAN STANLEY
May 15, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 31, 2008 - May 8, 2008
NATCITY INVESTMENTS, INC.
February 9, 2005 - June 7, 2007
METROPOLITAN LIFE INSURANCE COMPANY
February 9, 2005 - June 7, 2007
MSI FINANCIAL SERVICES, INC.
March 24, 2004 - January 18, 2005
MORGAN STANLEY DW INC.
April 11, 2002 - March 23, 2004
COMERICA SECURITIES
May 3, 2001 - April 15, 2002
CITIGROUP GLOBAL MARKETS 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.
