Nermene Simaika
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.
Nermene Simaika was a registered financial professional .
Nermene is a previously registered financial professional and started their career in finance in 2000. Nermene had worked at 8 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2011 - June 8, 2026
MORGAN STANLEY
July 15, 2011 - June 8, 2026
MORGAN STANLEY
November 16, 2010 - July 25, 2011
RBC CAPITAL MARKETS, LLC
November 16, 2010 - July 25, 2011
RBC CAPITAL MARKETS, LLC
April 18, 2008 - November 11, 2010
WELLS FARGO CLEARING SERVICES, LLC
April 18, 2008 - November 11, 2010
WELLS FARGO CLEARING SERVICES, LLC
March 27, 2007 - July 30, 2007
CITIGROUP GLOBAL MARKETS INC.
March 23, 2007 - July 30, 2007
CITIGROUP GLOBAL MARKETS INC.
May 12, 2004 - January 29, 2007
RYAN BECK & CO.
May 10, 2004 - January 29, 2007
RYAN BECK & CO.
August 27, 2003 - May 12, 2004
NEUBERGER BERMAN BD LLC
August 27, 2003 - May 12, 2004
NEUBERGER BERMAN BD LLC
July 9, 2002 - August 26, 2003
ADVEST, INC.
June 19, 2002 - June 27, 2002
MORGAN STANLEY DW INC.
January 7, 2000 - June 27, 2002
MORGAN STANLEY DW 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
Current 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 | 116 |
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.
