Sean M. Collins
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.
Sean M Collins, who also goes by Sean Michael Collins, Sean M Collins, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1997. Sean had worked at 15 firms and has passed the Series 63, Series 66, Series 65, Series 7TO, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2022 - October 11, 2024
MORGAN STANLEY
July 20, 2022 - October 11, 2024
MORGAN STANLEY
August 2, 2021 - September 5, 2023
HARRISDIRECT LLC
July 24, 2021 - September 5, 2023
E*TRADE SECURITIES LLC
August 15, 2018 - April 29, 2021
DYNAMIC
January 10, 2017 - December 26, 2017
LPL FINANCIAL LLC
January 10, 2017 - December 26, 2017
LPL FINANCIAL LLC
September 19, 2016 - December 12, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 7, 2016 - December 12, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 6, 2015 - July 13, 2016
PNC MANAGED ACCOUNT SOLUTIONS, INC.
September 10, 2015 - July 13, 2016
BBVA SECURITIES INC.
July 16, 2013 - October 21, 2014
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
July 8, 2013 - October 21, 2014
NEWEDGE SECURITIES, LLC
September 18, 2012 - December 10, 2012
BIC DISTRIBUTORS, LLC
May 5, 2009 - August 21, 2012
VOYA INVESTMENT MANAGEMENT CO. LLC
January 5, 2001 - August 21, 2012
VOYA INVESTMENTS DISTRIBUTOR, LLC
September 1, 1999 - October 24, 2000
KEYBANC CAPITAL MARKETS INC.
October 16, 1997 - June 23, 1998
MORGAN STANLEY DW 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 7TO
Date: 7/24/2021
General Securities Representative ExaminationCurrent 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.
