Jonathan S. Thomas
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.
Jonathan Stanley Thomas, who also goes by Jonathan S. Thomas, Jonathan S Thomas, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2015. Jonathan had worked at 7 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 31 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2022 - May 12, 2023
MORGAN STANLEY
March 10, 2022 - May 12, 2023
MORGAN STANLEY
April 15, 2020 - February 17, 2021
ELECTRONIC TRANSACTION CLEARING, INC.
November 12, 2019 - February 17, 2021
APEX CLEARING CORPORATION
February 4, 2019 - September 5, 2019
HILLTOP SECURITIES INC.
February 4, 2019 - September 5, 2019
HILLTOP SECURITIES INC.
March 21, 2018 - August 31, 2018
CHARLES SCHWAB & CO., INC.
March 21, 2018 - August 31, 2018
CHARLES SCHWAB & CO., INC.
May 24, 2017 - October 2, 2017
CALTON & ASSOCIATES, INC.
May 24, 2017 - October 2, 2017
CALTON & ASSOCIATES, INC.
April 20, 2015 - June 9, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
April 20, 2015 - June 9, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
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
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.
