BH
Brian D. Heaton
MORGAN STANLEY & CO. LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 2846562
BH
Professional summary
Brian D Heaton, who also goes by Brian Douglas Heaton, Brian Heaton, is a registered financial professional currently at MORGAN STANLEY & CO. LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1997. Brian has worked at 8 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brian Douglas Heaton | Brian Heaton
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.
CRS (Client Relationship Summary) - BD
Click below to view Brian D Heaton's 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®
NoneExperience
Current
September 29, 2017 - Present
MORGAN STANLEY & CO. LLC
Office #1: 1585 Broadway, New York, NY 10036BD
CRD#: 8209
New York, NY
Past
November 28, 2016 - May 5, 2017
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
November 2, 2016 - December 26, 2017
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
May 11, 2015 - October 11, 2016
R.W.PRESSPRICH & CO.
BD
CRD#: 26460
NEW YORK, NY
Past
March 25, 2011 - November 11, 2014
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
October 19, 2009 - October 19, 2010
BTIG, LLC
BD
CRD#: 122225
NEW YORK, NY
Past
May 14, 2009 - October 6, 2009
UTENDAHL CAPITAL PARTNERS, L.P.
BD
CRD#: 30115
NEW YORK, NY
Past
May 14, 2009 - October 6, 2009
UTENDAHL CAPITAL GROUP, LLC
BD
CRD#: 113617
NEW YORK, NY
Past
July 27, 2004 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
April 18, 1997 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/29/2017)
RR
Alaska(9/29/2017)
RR
Arizona(9/29/2017)
RR
Arkansas(9/29/2017)
RR
California(9/29/2017)
RR
Colorado(9/29/2017)
RR
Connecticut(9/29/2017)
RR
Delaware(9/29/2017)
RR
District of Columbia(9/29/2017)
RR
Florida(9/29/2017)
RR
Georgia(9/29/2017)
RR
Hawaii(9/29/2017)
RR
Idaho(9/29/2017)
RR
Illinois(9/29/2017)
RR
Indiana(9/29/2017)
RR
Iowa(9/29/2017)
RR
Kansas(9/29/2017)
RR
Kentucky(9/29/2017)
RR
Louisiana(9/29/2017)
RR
Maine(9/29/2017)
RR
Maryland(9/29/2017)
RR
Massachusetts(9/29/2017)
RR
Michigan(9/29/2017)
RR
Minnesota(9/29/2017)
RR
Mississippi(9/29/2017)
RR
Missouri(9/29/2017)
RR
Montana(9/29/2017)
RR
Nebraska(9/29/2017)
RR
Nevada(9/29/2017)
RR
New Hampshire(9/29/2017)
RR
New Jersey(9/29/2017)
RR
New Mexico(9/29/2017)
RR
New York(9/29/2017)
RR
North Carolina(10/2/2017)
RR
North Dakota(9/29/2017)
RR
Ohio(9/29/2017)
RR
Oklahoma(9/29/2017)
RR
Oregon(9/29/2017)
RR
Pennsylvania(9/29/2017)
RR
Puerto Rico(9/29/2017)
RR
Rhode Island(9/29/2017)
RR
South Carolina(9/29/2017)
RR
South Dakota(9/29/2017)
RR
Tennessee(9/29/2017)
RR
Texas(9/29/2017)
RR
Utah(9/29/2017)
RR
Vermont(9/29/2017)
RR
Virgin Islands(9/29/2017)
RR
Virginia(9/29/2017)
RR
Washington(9/29/2017)
RR
West Virginia(9/29/2017)
RR
Wisconsin(9/29/2017)
RR
Wyoming(9/29/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MS
MORGAN STANLEY & CO. LLC
MORGAN STANLEY | MORGAN STANLEY DEAN WITTER | MORGAN STANLEY & CO., INCORPORATED | MORGAN STANLEY & CO. LLC | MORGAN STANLEY & CO. INCORPORATED
CRD#: 8209 / SEC#: , 8-15869
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1585 Broadway, New York, NY 10036-8293
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(212) 761-4000
Established
Delaware since 12/03/1969
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
