Vanessa J. Stevens
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.
Vanessa J Stevens, who also goes by Vanessa Jayne Kimber, Vanessa Kimber, Vanessa J Kimber Stevens, Vanessa Stevens, was a registered financial professional .
Vanessa is a previously registered financial professional and started their career in finance in 2000. Vanessa had worked at 10 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2019 - March 5, 2021
MORGAN STANLEY
September 12, 2019 - March 5, 2021
MORGAN STANLEY
March 28, 2018 - September 13, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 27, 2018 - September 13, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 2015 - March 2, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
July 16, 2015 - March 2, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
June 26, 2006 - July 1, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 2006 - July 1, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 13, 2006 - June 19, 2006
CETERA INVESTMENT ADVISERS LLC
January 30, 2006 - June 19, 2006
CETERA FINANCIAL SPECIALISTS LLC
November 14, 2005 - January 10, 2006
EQUITY SERVICES, INC.
October 19, 2005 - January 10, 2006
EQUITY SERVICES, INC.
March 2, 2005 - June 2, 2005
TRUIST INVESTMENT SERVICES, INC.
March 1, 2005 - June 2, 2005
TRUIST INVESTMENT SERVICES, INC.
November 10, 2003 - April 12, 2004
WELLS FARGO CLEARING SERVICES, LLC
November 10, 2003 - April 12, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 29, 2001 - March 20, 2003
CITICORP INVESTMENT SERVICES
July 24, 2000 - September 28, 2001
IDS LIFE INSURANCE COMPANY
July 24, 2000 - September 28, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
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 | 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.
