Michael D. Sinclair
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.
Michael Dennis Sinclair was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1970. Michael had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2019 - February 18, 2022
MORGAN STANLEY
August 30, 2019 - February 18, 2022
MORGAN STANLEY
December 12, 2008 - September 27, 2019
UBS FINANCIAL SERVICES INC.
December 12, 2008 - September 27, 2019
UBS FINANCIAL SERVICES INC.
April 2, 2007 - December 18, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - December 18, 2008
MORGAN STANLEY & CO. LLC
July 8, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
February 24, 1978 - April 2, 2007
MORGAN STANLEY DW INC.
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
August 18, 1971 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
July 29, 1970 - October 1, 1971
THOMSON MCKINNON SECURITIES 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: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationPC
Date: 2/6/1979
AMEX Put and Call ExamSeries 1
Date: 1/8/1970
Registered 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.
