Elton S. 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.
Elton Stanford Stevens, who also goes by Elton S Stevens, was a registered financial professional .
Elton is a previously registered financial professional and started their career in finance in 1968. Elton had worked at 8 firms and has passed the Series 65, Series 63, Series 42, Series 62, Series 7TO, SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2009 - August 20, 2021
MORGAN STANLEY
June 1, 2009 - August 20, 2021
MORGAN STANLEY
April 1, 1992 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 1, 1992 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 17, 1989 - April 2, 1992
UBS FINANCIAL SERVICES INC.
October 3, 1980 - February 24, 1989
MORGAN STANLEY DW INC.
July 25, 1980 - October 30, 1980
CORNERSTONE FINANCIAL SERVICES, INC.
April 11, 1979 - October 30, 1980
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
December 10, 1973 - October 30, 1980
FIDUCIARY INVESTMENT COMPANY, INC.
January 19, 1968 - September 7, 1979
THE MASSACHUSETTS COMPANY DISTRIBUTOR, 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 42
Date: 1/2/2023
Registered Options Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 6/26/1963
Registered Representative ExaminationSeries 00
Date: 7/27/1972
General Securities Principal 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.
