Natalia C. Figueroa

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CRD#: 5737929

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.

Natalia Carolina Figueroa, who also goes by Natalia C Figueroa, was a registered financial professional .

Natalia is a previously registered financial professional and started their career in finance in 2010. Natalia had worked at 4 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Natalia C Figueroa

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

November 1, 2016 - October 9, 2018

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

RIA

CRD#: 110353

NEW YORK, NY

Past

October 31, 2016 - September 24, 2018

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

SAN FRANCISCO, CA

Past

June 28, 2016 - October 3, 2016

VISION BROKERAGE SERVICES, LLC

CRD#: 47927

Miami, FL

Past

February 15, 2011 - May 26, 2015

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

October 8, 2010 - May 26, 2015

MORGAN STANLEY

CRD#: 149777

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 INVESTMENT MANAGEMENT INC.

CRD#: 110353 / SEC#: 801-15757

RIA

Registered Investment Advisory firm - (1/28/1981 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/12/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/1/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/7/2010

General Securities Representative Examination

Current Firm

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

CRD#: 110353 / SEC#: 801-15757

RIA

Registered Investment Advisory firm - (1/28/1981 Approved)

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Contact information

Main Address

1585 Broadway, New York, NY 10036

Mailing Address

Phone number

(212) 761-4000

Established

Firm type

Fiscal year end

# of Employees

523

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MSIM INC FORM ADV PART 2A BROCHURE (6/18/2025)

Regulatory assets under management

Total Number of Accounts	21,920
AUM (Assets Under Management)	$ 619,196,027,920

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
01/24/2025	Cover Page	Report
10/24/2023	Cover Page	Report
01/26/2023	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.

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Firm Stability Insights

Natalia C. Figueroa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY DISTRIBUTION, INC.

VISION BROKERAGE SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/12/2011

SIE

Date: 9/24/2018

Series 3

Date: 10/1/2012

Series 7

Date: 10/7/2010

Current Firm

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

TRUST BUT VERIFY

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