Donald E. Lewis
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.
Donald Emerson Lewis was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1970. Donald had worked at 15 firms and has passed the Series 63, Series 3, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2012 - February 6, 2013
MORGAN STANLEY
October 1, 2012 - February 6, 2013
MORGAN STANLEY
July 1, 2003 - July 31, 2012
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - July 31, 2012
WELLS FARGO CLEARING SERVICES, LLC
April 29, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 13, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 14, 1993 - September 26, 1997
HSBC SECURITIES (USA) INC.
July 25, 1987 - April 7, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
July 2, 1986 - November 9, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
September 20, 1983 - July 13, 1984
ZELLER, TORYKIAN & CO. INC.
October 25, 1978 - October 17, 1979
CREDIT SUISSE SECURITIES (USA) LLC
April 7, 1978 - November 24, 1978
PERSHING LLC
January 18, 1978 - May 1, 1978
LOEB PARTNERS
September 9, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
June 30, 1977 - September 12, 1977
E.S.M. SECURITIES, INC.
October 14, 1975 - July 4, 1977
LOEB, RHOADES & CO. INC.
September 14, 1971 - October 8, 1975
KIDDER, PEABODY & CO., INCORPORATED
July 14, 1970 - October 7, 1971
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
PC
Date: 9/9/1983
AMEX Put and Call ExamSeries 1
Date: 8/30/1968
Registered 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 | 116 |
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.
