Dennis B. Porter
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.
Dennis Bruce Porter, who also goes by D Bruce Porter, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1972. Dennis had worked at 7 firms and has passed the Series 66, Series 63, SIE 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 12, 2015 - November 5, 2018
MORGAN STANLEY
October 12, 2015 - November 5, 2018
MORGAN STANLEY
July 21, 2004 - October 13, 2015
GENEOS WEALTH MANAGEMENT, INC.
July 19, 2004 - October 13, 2015
GENEOS WEALTH MANAGEMENT, INC.
June 12, 2003 - July 20, 2004
UNITED SECURITIES ALLIANCE, INC.
June 12, 2003 - July 20, 2004
UNITED SECURITIES ALLIANCE, INC.
May 27, 2003 - June 13, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 27, 2003 - June 13, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 12, 2002 - May 23, 2003
SIGNATOR INVESTORS, INC.
August 25, 1978 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 25, 1978 - May 23, 2003
SIGNATOR INVESTORS, INC.
April 3, 1972 - July 7, 1978
METROPOLITAN LIFE INSURANCE COMPANY
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: 3/24/1972
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.
