TO
Thomas M. O'brien
MORGAN STANLEY INVESTMENT MANAGEMENT
New York, NY 10036
Some features on this profile are disabled
CRD#: 6347716
TO
Professional summary
Thomas Matthew O'brien, who also goes by Thomas Matthew Obrien, is a registered financial advisor currently at MORGAN STANLEY INVESTMENT MANAGEMENT INC. located in New York, New York and MORGAN STANLEY DISTRIBUTION, INC. located in New York, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Thomas has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Matthew Obrien
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.
I WOULD BE AN EMPLOYEE, IT IS NOT INVESTMENT RELATED. THE ADDRESS IS 488 E 60TH ST, NEW YORK, NY 10022. IT IS A TENNIS CLUB AND MY POSITION WOULD BE FREE LANCE TENNIS INSTRUCTOR. THE START DATE IS OCTOBER 1 AND HOURS ARE STRICTLY ON WEEKENDS WITH NO BUSINESS HOURS BEING OVERLAPPED. HOURS/WEEK ARE UNKNOWN AS I HAVE NO CLIENT BASE YET. I HAVE THE ABILITY TO ACCEPT AND REFUSE ANY HOURS OR LESSONS. THE JOB ENTAILS GIVING TENNIS LESSONS TO INDIVIDUALS AS WELL AS TEACHING INSTRUCTIONAL CAMPS.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Matthew O'brien's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 12, 2016 - Present
MORGAN STANLEY INVESTMENT MANAGEMENT INC.
Office #1: 1585 Broadway, New York, NY 10036RIA
CRD#: 110353
New York, NY
Current
September 9, 2016 - Present
MORGAN STANLEY DISTRIBUTION, INC.
Office #1: 1585 Broadway, New York, NY 10036BD
CRD#: 30344
New York, NY
Past
December 16, 2015 - August 23, 2016
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
NEW YORK, NY
Past
October 13, 2015 - August 23, 2016
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
August 12, 2014 - October 13, 2015
NEUBERGER BERMAN MANAGEMENT LLC
BD
CRD#: 5493
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/9/2016)
RR
Alaska(9/9/2016)
RR
Arizona(9/9/2016)
RR
Arkansas(9/9/2016)
RR
California(9/9/2016)
RR
Colorado(9/9/2016)
RR
Connecticut(9/9/2016)
RR
Delaware(9/9/2016)
RR
District of Columbia(9/9/2016)
RR
Florida(9/9/2016)
RR
Georgia(9/9/2016)
RR
Hawaii(9/9/2016)
RR
Idaho(9/9/2016)
RR
Illinois(9/9/2016)
RR
Indiana(9/9/2016)
RR
Iowa(9/9/2016)
RR
Kansas(9/9/2016)
RR
Kentucky(9/9/2016)
RR
Louisiana(9/9/2016)
RR
Maine(9/9/2016)
RR
Maryland(9/9/2016)
RR
Massachusetts(9/9/2016)
RR
Michigan(9/9/2016)
RR
Minnesota(9/9/2016)
RR
Mississippi(9/9/2016)
RR
Missouri(9/9/2016)
RR
Montana(9/9/2016)
RR
Nebraska(9/9/2016)
RR
Nevada(9/9/2016)
RR
New Hampshire(9/9/2016)
RR
New Jersey(9/9/2016)
IAR
New Jersey(9/12/2016)
RR
New Mexico(9/9/2016)
RR
New York(9/9/2016)
RR
North Carolina(9/12/2016)
RR
North Dakota(9/9/2016)
RR
Ohio(9/9/2016)
RR
Oklahoma(9/9/2016)
RR
Oregon(9/9/2016)
RR
Pennsylvania(9/9/2016)
RR
Puerto Rico(9/9/2016)
RR
Rhode Island(9/9/2016)
RR
South Carolina(9/9/2016)
RR
South Dakota(9/9/2016)
RR
Tennessee(9/9/2016)
RR
Texas(9/9/2016)
RR
Utah(9/9/2016)
RR
Vermont(9/9/2016)
RR
Virginia(9/9/2016)
RR
Washington(9/9/2016)
RR
West Virginia(9/9/2016)
RR
Wisconsin(9/9/2016)
RR
Wyoming(9/9/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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
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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)
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 | ||
| 01/24/2025 | ||
| 10/24/2023 | ||
| 01/26/2023 |
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.
