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SH

Shawn B. Holloway

Some features on this profile are disabled
CRD#: 5782517
SH

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.

Shawn B Holloway, who also goes by Shawn Brennan Holloway, Shawn Holloway, was a registered financial professional .

Shawn is a previously registered financial professional and started their career in finance in 2010. Shawn had worked at 3 firms and has passed the Series 66, SIE, Series 3, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shawn Brennan Holloway | Shawn Holloway

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.
*443315 - Earn.re; Investment related - No; New York, New York; Technology, Real Estate; Contractor (proprietor, partner, officer, director, employee, trustee, agent); 06/2021; During business hours: 0; After business hours: 8; Business Development/Growth *510873 - QUASISTATICS INC.; Investment related: No; West Lafayette, Indiana; Technology; Contractor (proprietor, partner, officer, director, employee, trustee, agent); 08/2022; During business hours: 0; After business hours: 3; Business Development/Growth *578102 - SKILLET LABS INC. D/B/A SISE.AI; Investment related-Yes; West LA, California; Technology; Contractor (proprietor, partner, officer, director, employee, trustee, agent); 12/2023; During business hours: 0; After business hours: 1; Business Development/Growth

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

October 9, 2014 - July 10, 2025

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

RIA
CRD#: 110353
NEW YORK, NY
Past

October 9, 2014 - July 10, 2025

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
New York, NY
Past

August 18, 2010 - October 13, 2014

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

July 23, 2010 - October 13, 2014

MORGAN STANLEY

BD
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".
MS
MORGAN STANLEY INVESTMENT MANAGEMENT INC.
AFFINITY | VAN KAMPEN | MORGAN STANLEY INVESTMENT MANAGEMENT INC. | MORGAN STANLEY DEAN WITTER INVESTMENT MANAGEMENT INC. | MORGAN STANLEY ASSET MANAGEMENT | MILLER ANDERSON | MAS

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/17/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/23/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 11/17/2010
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/2010
General Securities Representative Examination

Current Firm

MS
MORGAN STANLEY INVESTMENT MANAGEMENT INC.
AFFINITY | VAN KAMPEN | MORGAN STANLEY INVESTMENT MANAGEMENT INC. | MORGAN STANLEY DEAN WITTER INVESTMENT MANAGEMENT INC. | MORGAN STANLEY ASSET MANAGEMENT | MILLER ANDERSON | MAS

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)

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

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 Accounts21,920
AUM (Assets Under Management)$ 619,196,027,920

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

CRD#: 110353

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