Stephanie N. Christians
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.
Stephanie N Christians, who also goes by Stephanie M. Nunez, Stephanie Mabalot Nunez, Stephanie Nunez, Stephanie M. Roberts, Stephanie N Roberts, Stephanie Nunez Roberts, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2002. Stephanie had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, 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
February 19, 2014 - October 14, 2019
MORGAN STANLEY
February 19, 2014 - October 14, 2019
MORGAN STANLEY
November 20, 2013 - February 18, 2014
PROVASI CAPITAL PARTNERS LP
February 28, 2013 - October 31, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 2013 - October 31, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2010 - November 26, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 18, 2010 - November 26, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 17, 2009 - May 4, 2010
CHARLES SCHWAB & CO., INC.
November 17, 2009 - May 4, 2010
CHARLES SCHWAB & CO., INC.
June 15, 2009 - September 29, 2009
CHASE INVESTMENT SERVICES CORP.
June 15, 2009 - September 29, 2009
CHASE INVESTMENT SERVICES CORP.
January 4, 2008 - April 15, 2009
JPMORGAN DISTRIBUTION SERVICES, INC.
November 27, 2006 - August 10, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 24, 2006 - August 10, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 5, 2006 - September 28, 2006
TRUIST INVESTMENT SERVICES, INC.
May 25, 2006 - September 28, 2006
TRUIST INVESTMENT SERVICES, INC.
August 4, 2005 - May 2, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 28, 2005 - May 2, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 14, 2003 - July 13, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 2002 - July 13, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
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.
