Joy L. Davis
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.
Joy Lynn Davis was a registered financial professional .
Joy is a previously registered financial professional and started their career in finance in 1973. Joy had worked at 13 firms and has passed the Series 63, SIE, PC, Series 1, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2014 - May 11, 2017
MORGAN STANLEY
June 1, 2009 - May 11, 2017
MORGAN STANLEY
May 16, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 14, 1999 - June 7, 2006
JANNEY MONTGOMERY SCOTT LLC
July 14, 1999 - October 8, 1999
PRUDENTIAL EQUITY GROUP, LLC
March 13, 1996 - July 26, 1999
UBS FINANCIAL SERVICES INC.
June 26, 1992 - November 6, 1995
CITIGROUP GLOBAL MARKETS INC.
February 11, 1992 - June 16, 1992
BALIS & ZORN INC.
December 4, 1986 - November 29, 1990
LEHMAN BROTHERS INC.
August 15, 1984 - October 27, 1986
MORGAN STANLEY DW INC.
August 1, 1983 - February 1, 1984
COMMVEST SECURITIES,INC.
January 25, 1982 - July 20, 1983
LEHMAN BROTHERS INC.
January 15, 1981 - February 11, 1982
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1977 - December 21, 1980
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
March 16, 1973 - November 8, 1974
HAYDEN STONE INC.
March 2, 1973 - March 16, 1973
HAYDEN STONE 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
PC
Date: 6/8/1977
AMEX Put and Call ExamSeries 1
Date: 2/26/1973
Registered Representative ExaminationSeries 8
Date: 9/15/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
