Douglas W. Dickinson
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.
Douglas Wayne Dickinson, who also goes by Doug Dickinson, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2002. Douglas had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2016 - August 17, 2026
MORGAN STANLEY
January 26, 2016 - August 17, 2026
MORGAN STANLEY
January 2, 2015 - December 21, 2015
THE LEADERS GROUP, INC.
January 2, 2014 - December 31, 2014
VOYA FINANCIAL ADVISORS, INC.
February 24, 2012 - October 28, 2013
METLIFE INVESTORS DISTRIBUTION COMPANY
July 4, 2011 - December 31, 2011
THE LEADERS GROUP, INC.
August 2, 2006 - January 10, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 2, 2006 - January 10, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 3, 2004 - March 7, 2006
CUNA BROKERAGE SERVICES, INC.
November 3, 2004 - March 7, 2006
CUNA BROKERAGE SERVICES, INC.
June 1, 2004 - October 25, 2004
MSI FINANCIAL SERVICES, INC.
April 16, 2002 - October 25, 2004
METROPOLITAN LIFE INSURANCE COMPANY
April 16, 2002 - October 25, 2004
MSI FINANCIAL SERVICES, 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 | 116 |
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.
