Robert 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.
Robert Alexander Anderson, who also goes by Bob Anderson, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 24, Series 8 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
October 20, 2014 - September 16, 2016
MORGAN STANLEY
September 29, 2014 - September 16, 2016
MORGAN STANLEY
May 5, 2000 - September 30, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 20, 2000 - September 30, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 1995 - April 26, 2000
CITIGROUP GLOBAL MARKETS INC.
January 18, 1993 - March 10, 1995
ADVEST, INC.
December 1, 1992 - January 20, 1993
REICH & CO., INC.
December 2, 1991 - December 1, 1992
REICH & CO., INC.
August 2, 1990 - November 29, 1991
DOMINICK & DICKERMAN LLC
January 2, 1990 - July 26, 1990
PRESCOTT, BALL & TURBEN, INC.
August 10, 1987 - January 2, 1990
GULFSTREAM FINANCIAL ASSOCIATES, INC.
July 23, 1987 - November 2, 1987
BOETTCHER & COMPANY, INC.
April 2, 1982 - June 30, 1987
JW GENESIS CLEARING CORP.
December 21, 1979 - April 20, 1983
JW GENESIS CLEARING CORP.
February 24, 1978 - January 30, 1980
MORGAN STANLEY DW INC.
October 8, 1975 - February 24, 1978
REYNOLDS SECURITIES, INC.
May 18, 1973 - April 7, 1976
DEAN WITTER & CO. INCORPORATED
May 4, 1970 - May 18, 1973
LAIRD, BISSELL & MEEDS, 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
Series 1
Date: 3/17/1960
Registered Representative ExaminationSeries 8
Date: 8/30/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 1/26/1974
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.
