Stanley Trilling
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.
Stanley Trilling was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1969. Stanley had worked at 9 firms and has passed the Series 63, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2015 - October 3, 2018
MORGAN STANLEY
September 18, 2015 - October 3, 2018
MORGAN STANLEY
October 19, 2007 - October 2, 2015
CREDIT SUISSE SECURITIES (USA) LLC
October 18, 2007 - October 2, 2015
CREDIT SUISSE SECURITIES (USA) LLC
July 8, 1997 - November 2, 2007
UBS FINANCIAL SERVICES INC.
June 1, 1987 - November 2, 2007
UBS FINANCIAL SERVICES INC.
September 12, 1985 - June 9, 1987
CANTOR FITZGERALD & CO.
August 31, 1984 - September 27, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
January 2, 1980 - January 27, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
January 2, 1980 - September 28, 1984
BECKER PARIBAS INCORPORATED
November 14, 1972 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
August 1, 1969 - November 14, 1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
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 1
Date: 7/25/1969
Registered Representative ExaminationSeries 40
Date: 5/15/1972
Registered 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.
