Ulises Covar
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.
Ulises Covar, who also goes by Ulises Escobar, was a registered financial advisor .
Ulises is a previously registered financial advisor and started their career in finance in 1969. Ulises had worked at 9 firms and has passed the Series 63, Series 31, Series 7, Series 1, Series 24 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 1, 2009 - December 18, 2009
MORGAN STANLEY
June 1, 2009 - December 18, 2009
MORGAN STANLEY
May 6, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 4, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 1, 1991 - September 11, 2002
MORGAN STANLEY DW INC.
December 13, 1989 - September 11, 2002
MORGAN STANLEY DW INC.
October 30, 1987 - December 22, 1989
UBS FINANCIAL SERVICES INC.
April 26, 1985 - September 21, 1987
COMMVEST SECURITIES,INC.
September 26, 1984 - March 25, 1985
INVEST FINANCIAL CORPORATION
June 21, 1984 - September 22, 1986
GREENTREE SECURITIES CORP.
March 13, 1973 - July 12, 1974
OPTIMUM SECURITIES CORP
November 26, 1969 - July 16, 1974
DARREN SECURITIES COMPANY
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: 7/17/1968
Registered Representative ExaminationSeries 00
Date: 8/5/1969
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.
