Sean M. Waters

MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC

Greenwood Village, CO 80111

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CRD#: 2765317

Professional summary

Sean M Waters, who also goes by Sean Michael Waters, is a registered financial advisor currently at MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC located in Greenwood Village, Colorado.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Sean has worked at 5 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean Michael Waters

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) - RIA

Click below to view Sean M Waters's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 25, 2024 - Present

MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC

Office #1: 5299 Dtc Boulevard, Suite 1000, Greenwood Village, CO 80111

RIA

CRD#: 149122

Greenwood Village, CO

Past

February 16, 2022 - July 16, 2024

COOK STREET CONSULTING, INC.

RIA

CRD#: 112829

GREENWOOD VILLAGE, CO

Past

November 7, 2002 - October 27, 2009

COOK STREET CONSULTING, INC.

RIA

CRD#: 112829

DENVER, CO

Past

September 29, 2000 - December 9, 2003

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

August 31, 1999 - October 26, 2000

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Past

July 26, 1996 - July 19, 1999

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC

COOK STREET CONSULTING | MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC | HYAS GROUP, LLC | HYAS GROUP | FIDUCIARY CONSULTING GROUP

CRD#: 149122 / SEC#: 801-69938

RIA

Registered Investment Advisory firm - (2/24/2009 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(6/25/2024)

IAR

Texas
(6/25/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/24/1996

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/22/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 7/25/1996

General Securities Representative Examination

Current Firm

MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC

COOK STREET CONSULTING | MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC | HYAS GROUP, LLC | HYAS GROUP | FIDUCIARY CONSULTING GROUP

CRD#: 149122 / SEC#: 801-69938

RIA

Registered Investment Advisory firm - (2/24/2009 Approved)

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Contact information

Main Address

5299 Dtc Blvd., Suite 1000, Greenwood Village, CO 80111

Mailing Address

750 7th Avenue 34th Floor, New York, NY 10019

Phone number

(303) 333-7770

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MSIIA ADV PART 2A (4/29/2025)

Regulatory assets under management

Total Number of Accounts	71
AUM (Assets Under Management)	$ 8,870,425,168

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.

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Advisor Monitoring

Firm Stability Insights

Sean M. Waters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean M Waters's CRS (Customer Relationship Summary).

Certified licenses

Experience

COOK STREET CONSULTING, INC.

COOK STREET CONSULTING, INC.

FIRST ALLIED SECURITIES, INC.

D.E. FREY & COMPANY, INC.

DEAM INVESTOR SERVICES, INC.

Primary Firm SEC Registration

MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/24/1996

Series 65

Date: 10/22/1996

Series 7

Date: 7/25/1996

Current Firm

MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MORGAN STANLEY INSTITUTIONAL INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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