William B. Hanson
Professional summary
William Bernard Hanson JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William Bernard Hanson JR, who also goes by William B Hanson Jr, William B Hanson, William Bernard Hanson, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1997. William had worked at 15 firms and has passed the Series 63, Series 25, 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
August 22, 2012 - December 10, 2012
MORGAN STANLEY
August 2, 2011 - March 26, 2012
DIRECT ACCESS PARTNERS LLC
April 5, 2011 - June 13, 2011
COWEN PRIME SERVICES LLC
April 1, 2011 - June 14, 2011
SANDERS MORRIS LLC
January 3, 2011 - March 29, 2011
CCM SECURITIES, LLC
September 24, 2008 - January 3, 2011
SLOAN SECURITIES CORP.
May 22, 2008 - September 19, 2008
SANDERS MORRIS LLC
July 31, 2007 - May 14, 2008
HEDGE FUND CAPITAL PARTNERS, LLC
November 9, 2006 - June 29, 2007
JEFFERIES LLC
May 24, 2005 - November 24, 2006
JEFFERIES EXECUTION SERVICES, INC.
May 1, 2002 - May 20, 2005
CJM SECURITIES, INC.
December 20, 2000 - July 16, 2001
UBS CAPITAL MARKETS L.P.
April 7, 2000 - January 3, 2001
TRADE.COM ONLINE SECURITIES, INC.
December 7, 1999 - June 15, 2000
FLEET ENTERPRISES, INC.
February 26, 1997 - September 30, 1997
DUKE & CO., INC.
February 26, 1997 - February 10, 1999
GLENN MICHAEL FINANCIAL, 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
Series 25
Date: 10/22/2002
NYSE Trading Assistant ExaminationSeries 55
Date: 6/29/2001
Limited Representative-Equity Trader ExamCurrent 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.
