Laurence F. Mcgivney
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.
Laurence Francis Mcgivney was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1969. Laurence had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, 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
June 22, 2021 - December 14, 2023
MORGAN STANLEY
June 1, 2009 - December 14, 2023
MORGAN STANLEY
October 25, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 13, 2001 - October 14, 2002
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
August 26, 1988 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
December 2, 1983 - July 9, 1988
MORGAN STANLEY & CO. LLC
February 17, 1978 - December 5, 1983
NEUBERGER BERMAN BD LLC
January 29, 1975 - February 9, 1978
BECKER SECURITIES INCORPORATED
January 11, 1973 - October 12, 1974
FAULKNER, DAWKINS & SULLIVAN SECURITIES CORP
November 13, 1969 - September 29, 1972
LOMBARD, NELSON & MCKENNA, 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: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/29/1978
AMEX Put and Call ExamSeries 1
Date: 6/14/1963
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 | 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.
