Brian L. Littlefield
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.
Brian Lee Littlefield was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2002. Brian had worked at 10 firms and has passed the Series 66, SIE 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
June 5, 2020 - February 18, 2025
MORGAN STANLEY
June 5, 2020 - February 18, 2025
MORGAN STANLEY
January 3, 2011 - June 9, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - June 9, 2020
WELLS FARGO CLEARING SERVICES, LLC
July 6, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 6, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 13, 2010 - July 2, 2010
ST JOHNS WEALTH MANAGEMENT
February 19, 2008 - March 11, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
February 19, 2008 - July 2, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
January 30, 2008 - February 13, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
April 17, 2006 - February 13, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
October 19, 2005 - April 18, 2006
CHASE INVESTMENT SERVICES CORP.
October 18, 2005 - April 18, 2006
CHASE INVESTMENT SERVICES CORP.
September 23, 2003 - June 6, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
September 23, 2003 - June 6, 2005
IDS LIFE INSURANCE COMPANY
September 23, 2003 - June 6, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
December 18, 2002 - August 19, 2003
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.
