Salvatore Spinnato
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.
Salvatore Spinnato, who also goes by Salvatore Spinnato, Sal Spinnato, was a registered financial professional .
Salvatore is a previously registered financial professional and started their career in finance in 2000. Salvatore had worked at 8 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 55 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2023 - July 20, 2023
MORGAN STANLEY
January 31, 2022 - July 20, 2023
E*TRADE SECURITIES LLC
October 3, 2019 - October 24, 2021
J.P. MORGAN SECURITIES LLC
January 13, 2017 - December 26, 2017
EQUITEC PROPRIETARY MARKETS, LLC
December 17, 2015 - August 4, 2016
C & H OPTION TRADING INC.
October 13, 2014 - April 24, 2015
CMZ TRADING, LLC
March 17, 2011 - September 29, 2014
BELVEDERE TRADING LLC
June 26, 2000 - August 7, 2001
PURE TRADING 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
Series 7TO
Date: 2/16/2022
General Securities Representative ExaminationSeries 6TO
Date: 10/3/2019
Investment Company Products/Variable Contracts Representative ExaminationSeries 55
Date: 7/1/2000
Limited Representative-Equity Trader ExamSeries 62
Date: 6/24/2000
Corporate Securities Limited 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.
