Dina J. Assion
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.
Dina Jayantie Assion, who also goes by Dina Jayantie Koodie, Dina Jayantie Koodie Assion, was a registered financial professional .
Dina is a previously registered financial professional and started their career in finance in 2001. Dina had worked at 5 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 3, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2010 - January 4, 2024
MORGAN STANLEY
November 16, 2010 - January 4, 2024
MORGAN STANLEY
April 28, 2009 - April 29, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 30, 2007 - April 29, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2003 - September 6, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 12, 2003 - September 6, 2005
WELLS FARGO CLEARING SERVICES, LLC
December 5, 2002 - September 5, 2003
GUNNALLEN FINANCIAL, INC
April 29, 2002 - September 5, 2003
GUNNALLEN FINANCIAL, INC
November 29, 2001 - May 3, 2002
FIRST MONTAUK SECURITIES CORP.
February 16, 2001 - July 26, 2001
FIRST LIBERTY INVESTMENT GROUP, 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
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.
