Nolan C. Darby

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CRD#: 60970

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.

Nolan Clifton Darby III, who also goes by Nolan Cliford Darby III, Nolan Clifton Darby, Nolan Clifton Darby III, was a registered financial professional .

Nolan is a previously registered financial professional and started their career in finance in 1963. Nolan had worked at 17 firms and has passed the Series 63, SIE, Series 1, Series 12 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nolan Cliford Darby Iii | Nolan Clifton Darby | Nolan Clifton Darby Iii

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

January 30, 2014 - January 8, 2019

MORGAN STANLEY

CRD#: 149777

SARASOTA, FL

Past

August 30, 2007 - December 31, 2013

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SARASOTA, FL

Past

April 26, 2005 - August 28, 2007

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

SARASOTA, FL

Past

April 22, 2005 - August 28, 2007

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

SARASOTA, FL

Past

June 7, 1999 - May 6, 2005

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

SARASOTA, FL

Past

May 25, 1999 - May 6, 2005

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

December 11, 1993 - May 27, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 21, 1991 - December 1, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 16, 1988 - May 20, 1991

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

December 8, 1986 - February 22, 1988

WACHOVIA SECURITIES, INC.

CRD#: 431

Past

June 28, 1984 - December 12, 1986

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

Past

December 27, 1983 - January 11, 1985

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

February 1, 1982 - February 4, 1984

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

June 4, 1980 - March 10, 1982

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

November 9, 1977 - August 21, 1979

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

April 8, 1974 - November 29, 1977

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

Past

February 7, 1974 - June 6, 1974

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

CRD#: 412

Past

September 21, 1972 - April 8, 1974

DUPONT WALSTON, INCORPORATED

CRD#: 870

Past

February 14, 1972 - September 20, 1972

H. HENTZ & CO., INC.

CRD#: 376

Past

June 28, 1963 - January 31, 1972

MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATE

CRD#: 1000001

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

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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

Series 63

Date: 8/8/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 6/25/1963

Registered Representative Examination

Principal/Supervisory Exam

Series 12

Date: 2/22/1973

NYSE Branch Manager Examination

Principal/Supervisory Exam

Series 40

Date: 1/11/1973

Registered Principal Examination

Current Firm

MORGAN STANLEY

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

2000 Westchester Avenue, Purchase, NY 10577-2530

Mailing Address

1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231

Phone number

(914) 225-1000

Established

Delaware since 02/02/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

29,200

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRIVATE WEALTH MANAGEMENT CONSULTING SERVICES PROGRAM BROCHURE (11/6/2025)

PORTFOLIO MANAGEMENT AND INSTITUTIONAL CASH ADVISORY PROGRAM BROCHURE (10/24/2025)

SELECT UMA PROGRAM BROCHURE (10/24/2025)

FINANCIAL PLANNING SERVICES PROGRAM BROCHURE (10/22/2025)

CONSULTING GROUP ADVISOR PROGRAM BROCHURE (10/17/2025)

SEPARATE MANAGED ACCOUNT WRAP PROGRAM BROCHURE (10/17/2025)

SEPARATE MANAGED ACCOUNT COMMISSION-BASED PROGRAM BROCHURE (10/17/2025)

INSTITUTIONAL SERVICES PROGRAM BROCHURE (3/28/2025)

MORGAN STANLEY CORE PORTFOLIOS (3/28/2025)

ALTERNATIVE INVESTMENTS WRAP PROGRAM BROCHURE (3/28/2025)

ACCESS INVESTING PROGRAM BROCHURE (3/28/2025)

OUTSOURCED CHIEF INVESTMENT OFFICE (OCIO) (3/28/2025)

GRAYSTONE CONSULTING PROGRAM BROCHURE (3/28/2025)

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	Cover Page	Report
07/23/2024	Cover Page	Report
08/24/2023	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

Nolan C. Darby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MSI FINANCIAL SERVICES, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

RAYMOND JAMES & ASSOCIATES, INC.

WACHOVIA SECURITIES, INC.

PRESCOTT, BALL & TURBEN, INC.

E. F. HUTTON & COMPANY INC

KIDDER, PEABODY & CO. INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

E. F. HUTTON & COMPANY INC

DEAN WITTER & CO. INCORPORATED

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

DUPONT WALSTON, INCORPORATED

H. HENTZ & CO., INC.

MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATE

Primary Firm SEC Registration

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 63

Date: 8/8/1980

SIE

Date: 10/1/2018

Series 1

Date: 6/25/1963

Series 12

Date: 2/22/1973

Series 40

Date: 1/11/1973

Current Firm

MORGAN STANLEY

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MORGAN STANLEY

TRUST BUT VERIFY

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