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JL

Jennifer L. Lemmen

Some features on this profile are disabled
CRD#: 5050007
JL

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.

Jennifer L Lemmen was a registered financial professional .

Jennifer is a previously registered financial professional and started their career in finance in 2007. Jennifer had worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 2, 2023 - March 4, 2025

MORGAN STANLEY

RIA
CRD#: 149777
New York, NY
Past

January 9, 2023 - March 4, 2025

MORGAN STANLEY

BD
CRD#: 149777
New York, NY
Past

June 8, 2022 - July 22, 2022

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

March 4, 2014 - December 21, 2016

BROKERTEC AMERICAS LLC

BD
CRD#: 47477
JERSEY CITY, NJ
Past

March 4, 2014 - July 22, 2022

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

March 4, 2014 - July 22, 2022

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY
Past

October 27, 2011 - March 8, 2013

BARCLAYS CAPITAL INC.

RIA
CRD#: 19714
NEW YORK, NY
Past

September 2, 2011 - March 8, 2013

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

December 12, 2007 - September 2, 2011

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MORGAN STANLEY
MORGAN STANLEY
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA
Registered Investment Advisory firm - SEC (5/11/2009 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/2/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/29/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/1/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/11/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/5/2011
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/10/2010
General Securities Sales Supervisor - Options Module Examination

Current Firm

MORGAN STANLEY
MORGAN STANLEY
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA
Registered Investment Advisory firm - SEC (5/11/2009 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
2000 Westchester Avenue, Purchase, NY 10577-2530
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(914) 225-1000
Established
Delaware since 02/02/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
29,200

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PRIVATE WEALTH MANAGEMENT CONSULTING SERVICES PROGRAM BROCHURE (11/6/2025)
PORTFOLIO MANAGEMENT AND INSTITUTIONAL CASH ADVISORY PROGRAM BROCHURE (10/24/2025)
SELECT UMA PROGRAM BROCHURE (10/24/2025)
FINANCIAL PLANNING SERVICES PROGRAM BROCHURE (10/22/2025)
CONSULTING GROUP ADVISOR PROGRAM BROCHURE (10/17/2025)
SEPARATE MANAGED ACCOUNT WRAP PROGRAM BROCHURE (10/17/2025)
SEPARATE MANAGED ACCOUNT COMMISSION-BASED PROGRAM BROCHURE (10/17/2025)
INSTITUTIONAL SERVICES PROGRAM BROCHURE (3/28/2025)
MORGAN STANLEY CORE PORTFOLIOS (3/28/2025)
ALTERNATIVE INVESTMENTS WRAP PROGRAM BROCHURE (3/28/2025)
ACCESS INVESTING PROGRAM BROCHURE (3/28/2025)
OUTSOURCED CHIEF INVESTMENT OFFICE (OCIO) (3/28/2025)
GRAYSTONE CONSULTING PROGRAM BROCHURE (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
MORGAN STANLEY CAPITAL MANAGEMENT, LLCMEMBER
CROWE, JOHN WILLIAMCHIEF FINANCIAL OFFICER5475007
FINN, JEDDIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER5658048
FLETCHER, PATRICIA KAYTEXAS DESIGNATED PRINCIPAL1202060
GALASSO, DAVID ANTHONYPRINCIPAL OPERATIONS OFFICER1926502
GIVENS, WILLIAM BENJAMINCHIEF COMPLIANCE OFFICER (BD ONLY)2790454
HANSEN, TIMOTHY GERARDCHIEF COMPLIANCE OFFICER (IA ONLY )4956475
HENNESSY, MICHAEL SDIRECTOR1988660
JANOVER, JAMES TROYDIRECTOR2818307
TURNER, CHAD EDWARDDIRECTOR6009808

Regulatory assets under management

Total Number of Accounts2,539,760
AUM (Assets Under Management)$ 1,650,015,946,338

Disclosures

Regulatory Event66
Arbitration115

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/20/2025
Cover Page
Report
07/23/2024
Cover Page
Report
08/24/2023
Cover Page
Report

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.

Company Information

MORGAN STANLEY

MORGAN STANLEY

CRD#: 149777

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