Courtney L. Jabaut
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.
Courtney L Jabaut, CFP®, who also goes by Courtney Lee Harris, Courtney Lee Jabaut, Courtney Jabaut, Courtney Lee Lazar, was a registered financial professional .
Courtney is a previously registered financial professional and started their career in finance in 2004. Courtney had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2010
Experience
December 15, 2017 - August 26, 2022
MORGAN STANLEY
December 14, 2017 - August 26, 2022
MORGAN STANLEY
February 4, 2014 - November 16, 2017
NATIONWIDE SECURITIES, LLC
October 27, 2012 - November 16, 2017
NATIONWIDE SECURITIES, LLC
September 15, 2010 - October 30, 2012
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 9, 2009 - September 7, 2010
NATIONWIDE SECURITIES, LLC
August 1, 2008 - September 7, 2010
NATIONWIDE SECURITIES, LLC
November 9, 2006 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
November 17, 2005 - November 10, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 27, 2004 - September 27, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
September 24, 2004 - September 27, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
January 1, 2004 - June 16, 2004
EDWARD JONES
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.
