Arnold A. Anderson
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.
Arnold Andrew Anderson was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1969. Arnold had worked at 12 firms and has passed the Series 66, Series 63, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2010 - March 14, 2013
MORGAN STANLEY
February 11, 2010 - March 14, 2013
MORGAN STANLEY
April 12, 2004 - April 15, 2009
UBS FINANCIAL SERVICES INC.
April 12, 2004 - April 15, 2009
UBS FINANCIAL SERVICES INC.
January 1, 1999 - April 7, 2004
A. G. EDWARDS & SONS, INC.
November 19, 1989 - November 10, 1995
OSAIC WEALTH, INC.
July 13, 1981 - April 7, 2004
A. G. EDWARDS & SONS, INC.
April 6, 1981 - October 17, 1983
DOMIK CORP.
March 28, 1978 - March 20, 1981
THOMSON MCKINNON SECURITIES INC.
January 18, 1978 - May 1, 1978
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
August 11, 1975 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
July 13, 1973 - September 1, 1975
A. G. EDWARDS & SONS, INC.
August 2, 1972 - May 30, 1973
WEIS SECURITIES, INC.
June 2, 1971 - December 17, 1971
JANUS MANAGEMENT CORPORATION
October 3, 1969 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
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
PC
Date: 3/17/1981
AMEX Put and Call ExamSeries 1
Date: 6/18/1964
Registered Representative ExaminationSeries 00
Date: 9/25/1969
General Securities 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.
