Audrey L. Snell
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.
Audrey Lynn Snell, CFP®, who also goes by Audrey Lynn Bell, Audrey Lynn Michaels, was a registered financial professional .
Audrey is a previously registered financial professional and started their career in finance in 2001. Audrey had worked at 8 firms and has passed the Series 66, Series 63, Series 87, Series 86, Series 16 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
March 14, 2013 - September 22, 2014
MORGAN STANLEY
March 13, 2013 - September 22, 2014
MORGAN STANLEY
July 25, 2011 - January 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 2011 - January 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 19, 2010 - July 18, 2011
SIGNATOR INVESTORS, INC.
May 13, 2009 - October 27, 2009
EDWARD JONES
April 13, 2009 - October 27, 2009
EDWARD JONES
March 16, 2009 - March 17, 2009
EDWARD JONES
June 11, 2007 - September 29, 2008
KAUFMAN BROS., L.P.
February 7, 2005 - June 5, 2007
THINKEQUITY LLC
September 18, 2001 - February 9, 2005
BREAN MURRAY & CO., INC.
August 14, 2001 - September 7, 2001
FREIMARK BLAIR & COMPANY, 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.
