Jerome C. Buckley
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.
Jerome Charles Buckley, who also goes by Jerome C Buckley Jr, Jerry Buckley Jr, Jerome Charles Buckley Jr. Jr, was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1971. Jerome had worked at 12 firms and has passed the Series 63, PC, Series 5, Series 000 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 1, 2009 - February 7, 2013
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 1, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
January 14, 1997 - March 21, 2007
UBS FINANCIAL SERVICES INC.
October 27, 1994 - August 28, 1995
TUCKER ANTHONY INCORPORATED
May 19, 1993 - August 23, 1994
CITIGROUP GLOBAL MARKETS INC.
March 19, 1990 - May 18, 1993
KIDDER, PEABODY & CO. INCORPORATED
July 25, 1987 - March 3, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
February 26, 1987 - March 3, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
January 31, 1980 - March 14, 1986
UBS FINANCIAL SERVICES INC.
January 10, 1980 - May 8, 1986
MORGAN STANLEY DW INC.
January 2, 1980 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
January 16, 1974 - January 20, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
September 13, 1971 - December 5, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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: 12/11/1982
AMEX Put and Call ExamSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 000
Date: 9/8/1971
General Securities Principal ExaminationSeries 1
Date: 9/8/1971
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.
