Florencio O. Busot
Professional summary
Florencio Otto Busot was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Florencio is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Florencio had worked at 9 firms, which includes MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., UBS FINANCIAL SERVICES INC., PAINE WEBBER JACKSON & CURTIS INCORPORATED, THOMSON MCKINNON SECURITIES INC., PRUDENTIAL EQUITY GROUP LLC, BACHE HALSEY STUART INC., BACHE & CO INCORPORATED, BACHE & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2009 - March 11, 2021
MORGAN STANLEY
June 1, 2009 - March 11, 2021
MORGAN STANLEY
February 19, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 10, 1986 - March 3, 2009
UBS FINANCIAL SERVICES INC.
January 4, 1980 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
December 31, 1979 - March 3, 2009
UBS FINANCIAL SERVICES INC.
August 22, 1978 - November 15, 1979
THOMSON MCKINNON SECURITIES INC.
September 16, 1977 - August 11, 1978
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
October 15, 1970 - February 27, 1976
BACHE & CO., INCORPORATED
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 ExaminationSeries 15
Date: 1/3/1985
Foreign Currency Options ExaminationSeries 000
Date: 1/6/1967
General Securities Principal ExaminationSeries 1
Date: 1/6/1967
Registered Representative ExaminationSeries 12
Date: 12/31/1979
NYSE Branch Manager ExaminationSeries 40
Date: 3/9/1970
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.
