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LB

Lisa M. Barbacane

MORGAN STANLEY DISTRIBUTION
West Conshohocken, PA 19428
Some features on this profile are disabled
CRD#: 2912968
LB

Professional summary

Lisa Marie Barbacane is a registered financial professional currently at MORGAN STANLEY DISTRIBUTION, INC. located in West Conshohocken, Pennsylvania.

Lisa is registered as a RR (Registered Representative) and started their career in finance in 2001. Lisa has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Lisa Marie Barbacane'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®
None

Experience

Current

May 29, 2012 - Present

MORGAN STANLEY DISTRIBUTION, INC.

Office #1: 100 Front Street Suite 400, West Conshohocken, PA 19428
BD
CRD#: 30344
West Conshohocken, PA
Past

January 9, 2009 - January 4, 2010

NUVEEN FUND ADVISORS, LLC

RIA
CRD#: 104626
CHICAGO, IL
Past

September 18, 2001 - January 9, 2009

RITTENHOUSE ASSET MANAGEMENT, INC.

RIA
CRD#: 106562
RADNOR, PA
Past

March 28, 2001 - January 4, 2010

NUVEEN SECURITIES, LLC

BD
CRD#: 469
RADNOR, PA

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

State Security Law Exam
RR
IAR
Series 66
Date: 8/22/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/27/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MORGAN STANLEY DISTRIBUTION, INC.
MAS FUND DISTRIBUTION, INC. | MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344 / SEC#: , 8-44766

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) 296-7860
Established
Pennsylvania since 02/28/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 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 INVESTMENT MANAGEMENT INC.OWNER
FAHEY, LAWRENCE LOUISPRINCIPAL OPERATIONS OFFICER2097212
KASETA, LYNN MCHIEF COMPLIANCE OFFICER6451373
KUSH, ANTHONY NPRINCIPAL FINANCIAL OFFICER AND FINOP7463692
MCMULLEN, FREDERICK ALLENDIRECTOR AND TEXAS DESIGNATED PRINCIPAL2537409
SCHOEN, SAMANTHA JANEDIRECTOR7006907
WITKOS, MATTHEW JOSEPHPRESIDENT AND DIRECTOR2034689

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

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344West Conshohocken, PA 19428

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