Astrid A. Brand
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.
Astrid A Brand, who also goes by Stephanie A Brand, Stephanie Astrid Brand, Stephanie A Caldroney, Stephanie Caldroney, was a registered financial professional .
Astrid is a previously registered financial professional and started their career in finance in 2007. Astrid had worked at 7 firms and has passed the Series 65, Series 63, 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
November 17, 2022 - July 9, 2025
MORGAN STANLEY
November 15, 2022 - July 9, 2025
MORGAN STANLEY
April 15, 2021 - September 16, 2021
VANDERBILT ADVISORY SERVICES
April 15, 2021 - September 16, 2021
VANDERBILT SECURITIES, LLC
October 11, 2017 - April 20, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 17, 2017 - April 20, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2015 - May 2, 2017
WELLS FARGO CLEARING SERVICES, LLC
April 2, 2015 - May 2, 2017
WELLS FARGO CLEARING SERVICES, LLC
February 27, 2014 - April 15, 2015
MORGAN STANLEY
February 27, 2014 - April 15, 2015
MORGAN STANLEY
January 5, 2012 - February 18, 2014
WELLS FARGO CLEARING SERVICES, LLC
August 30, 2010 - February 18, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 26, 2007 - September 10, 2010
UBS FINANCIAL SERVICES INC.
September 29, 2007 - November 2, 2007
CITIGROUP GLOBAL MARKETS 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 | 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.
