Sandy H. Dawe
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.
Sandy H Dawe, who also goes by Sandy Ho, was a registered financial professional .
Sandy is a previously registered financial professional and started their career in finance in 2004. Sandy had worked at 8 firms and has passed the Series 79TO, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2014 - November 12, 2025
MORGAN STANLEY DISTRIBUTION, INC.
August 16, 2012 - August 18, 2014
HSBC SECURITIES (USA) INC.
April 27, 2010 - August 13, 2012
MORGAN STANLEY & CO. LLC
October 30, 2007 - June 7, 2010
INVESCO CAPITAL MARKETS, INC.
October 30, 2007 - October 5, 2011
MORGAN STANLEY DISTRIBUTORS INC.
October 18, 2007 - August 13, 2012
MORGAN STANLEY DISTRIBUTION, INC.
February 17, 2005 - September 21, 2007
DWS DISTRIBUTORS, INC.
February 17, 2005 - September 21, 2007
DEAM INVESTOR SERVICES, INC.
August 2, 2004 - February 3, 2005
CITIGROUP GLOBAL MARKETS INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
MORGAN STANLEY DISTRIBUTION, INC.
CRD#: 30344 / SEC#: , 8-44766
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | OWNER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER AND FINOP | 7463692 |
| MCMULLEN, FREDERICK ALLEN | DIRECTOR AND TEXAS DESIGNATED PRINCIPAL | 2537409 |
| SCHOEN, SAMANTHA JANE | DIRECTOR | 7006907 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT AND DIRECTOR | 2034689 |
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.
