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Jean Y. Shick

Some features on this profile are disabled
CRD#: 4349592
JS

Professional summary

Jean Y Shick was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jean is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Jean had worked at 3 firms, which includes MORGAN STANLEY & CO. LLC, OPPENHEIMER & CO. INC., CIBC WORLD MARKETS CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 13, 2003 - May 7, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

January 3, 2003 - January 31, 2003

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

February 8, 2001 - January 3, 2003

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/27/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/4/2000
General Securities Representative Examination

Current Firm

MS
MORGAN STANLEY & CO. LLC
MORGAN STANLEY | MORGAN STANLEY DEAN WITTER | MORGAN STANLEY & CO., INCORPORATED | MORGAN STANLEY & CO. LLC | MORGAN STANLEY & CO. INCORPORATED

CRD#: 8209 / SEC#: , 8-15869

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1585 Broadway, New York, NY 10036-8293
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(212) 761-4000
Established
Delaware since 12/03/1969
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MORGAN STANLEY CAPITAL MANAGEMENT, LLCMEMBER
BERKE, MATTHEW EVANCHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR2524594
BHAIMIA, ISMAIL OMARDIRECTOR6264162
DAMAST, EVAN SCOTTDIRECTOR3198635
HENNESSEY, JACQUELINE ATEXAS DESIGNATED PRINCIPAL2194034
KRAUSE, GARD JCHIEF COMPLIANCE OFFICER2284628
LYNN, GARY MICHAELPRINCIPAL FINANCIAL OFFICER2162411
MACEJKA, PATRICK NMNDIRECTOR2139145
MORANO, DAVIDPRINCIPAL OPERATIONS OFFICER2189287
STERN, MICHAEL ADIRECTOR4939073

Disclosures

Regulatory Event487
Civil Event5
Arbitration56

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

MORGAN STANLEY & CO. LLC

CRD#: 8209

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