Alan J. Levinsohn
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.
Alan Jay Levinsohn, who also goes by Alan Jason Levinsonhn, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1968. Alan had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2009 - September 9, 2016
MORGAN STANLEY
June 1, 2009 - September 9, 2016
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 4, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
December 1, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
November 29, 1999 - December 8, 2006
CITIGROUP GLOBAL MARKETS INC.
November 29, 1999 - December 8, 2006
CITIGROUP GLOBAL MARKETS INC.
July 11, 1994 - November 24, 1999
MORGAN STANLEY DW INC.
July 3, 1990 - July 7, 1994
PRUDENTIAL EQUITY GROUP, LLC
November 18, 1988 - July 10, 1990
KIDDER, PEABODY & CO. INCORPORATED
September 20, 1985 - November 2, 1987
PROFIT FUNDS INC.
January 3, 1985 - October 14, 1985
INVESTACORP, INC.
December 5, 1983 - March 5, 1984
BLUESTONE SECURITIES CORPORATION
November 10, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
October 10, 1983 - April 4, 1985
LEHMAN BROTHERS INC.
April 19, 1968 - August 1, 1981
E. F. HUTTON & COMPANY 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 1
Date: 4/15/1968
Registered Representative ExaminationSeries 40
Date: 4/17/1978
Registered Principal 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.
