Herbert G. Sharp
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.
Herbert Grafton Sharp III, who also goes by Herbert Grafton Sharp, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1973. Herbert had worked at 7 firms and has passed the Series 65, Series 63, SIE, PC, Series 1 and Series 000 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 - May 3, 2018
MORGAN STANLEY
June 1, 2009 - May 3, 2018
MORGAN STANLEY
November 14, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 14, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 4, 1985 - November 21, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 1981 - November 21, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 1980 - February 2, 1981
BLACK & COMPANY, INC.
January 24, 1979 - June 17, 1981
EVERGREEN SECURITIES, INC.
September 26, 1978 - February 6, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 5, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
August 1, 1973 - April 8, 1974
DUPONT WALSTON, 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
PC
Date: 1/2/1979
AMEX Put and Call ExamSeries 1
Date: 7/24/1973
Registered Representative ExaminationSeries 000
Date: 7/21/1973
General Securities 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.
