David E. Link
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.
David Edwin Link was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1962. David had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, 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 12, 2024
MORGAN STANLEY
June 1, 2009 - September 12, 2024
MORGAN STANLEY
June 27, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 27, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
May 3, 2002 - July 7, 2008
CITIGROUP GLOBAL MARKETS INC.
June 5, 1998 - July 7, 2008
CITIGROUP GLOBAL MARKETS INC.
November 8, 1982 - June 10, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 18, 1981 - December 7, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
June 9, 1980 - October 20, 1981
L. F. ROTHSCHILD & CO. INCORPORATED
November 26, 1979 - June 9, 1980
LEHMAN BROTHERS INC.
February 5, 1979 - November 26, 1979
LOEB PARTNERS
September 20, 1978 - February 6, 1979
JOHN MUIR & CO.
August 23, 1976 - October 11, 1978
ULTRAFIN INTERNATIONAL CORPORATION
April 28, 1976 - August 29, 1976
ARTHUR WIESENBERGER & COMPANY, INC.
May 3, 1974 - April 30, 1976
DANIELS & BELL, INC.
November 8, 1962 - July 13, 1972
LOEB RHOADES & CO
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: 1/2/2023
General Securities Representative ExaminationPC
Date: 4/2/1979
AMEX Put and Call ExamSeries 1
Date: 11/2/1962
Registered Representative ExaminationSeries 40
Date: 12/13/1976
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.
