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MS

Michelle L. Shappell

Some features on this profile are disabled
CRD#: 2701807
MS

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.

Michelle Leigh Shappell, who also goes by Michelle L Shappell, Michelle Leigh-visbeck Shappell, Michelle Leigh VIsbeck Ms., was a registered financial professional .

Michelle is a previously registered financial professional and started their career in finance in 2009. Michelle had worked at 4 firms and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michelle L Shappell | Michelle Leigh-Visbeck Shappell | Michelle Leigh Visbeck Ms.

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 5, 2014 - June 9, 2022

PRIME DEALER SERVICES CORP.

BD
CRD#: 36142
NEW YORK, NY
Past

September 5, 2014 - June 9, 2022

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

June 23, 2014 - June 9, 2022

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

August 7, 2009 - June 9, 2022

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

July 3, 2009 - August 17, 2009

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/2/2009
Financial and Operations Principal Examination

Current Firm

PD
PRIME DEALER SERVICES CORP.
MS DEALER SERVICES CORP. | PRIME DEALER SERVICES CORP.

CRD#: 36142 / SEC#: , 8-47025

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1585 Broadway, New York, NY 10036
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(212) 762-4000
Established
Delaware since 01/26/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MORGAN STANLEY & CO. LLCSHAREHOLDER
CROWE, JOHN WILLIAMCHIEF FINANCIAL OFFICER5475007
GRECO, ANTHONYDIRECTOR, PRESIDENT, AND CHIEF EXECUTIVE OFFICER4853800
MORANO, DAVIDPRINCIPAL OPERATIONS OFFICER2189287
MOSKOWITZ, DOUGLAS IRWINCHIEF COMPLIANCE OFFICER2396405
MURRAY, CHRISTOPHER ADIRECTOR3128073
RUBIN, GERALDDIRECTOR2950891

Disclosures

Regulatory Event1

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.

Company Information

PRIME DEALER SERVICES CORP.

CRD#: 36142

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