MK
Marie G. Klein
MORGAN STANLEY INVESTMENT MANAGEMENT
New York, NY 10036
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CRD#: 6904329
MK
Professional summary
Marie Gilman Klein, who also goes by Marie E Gilman, Marie Ellen Gilman, Marie Ellen Klein, is a registered financial advisor currently at MORGAN STANLEY INVESTMENT MANAGEMENT INC. located in New York, New York and EATON VANCE DISTRIBUTORS, INC. located in New York, New York.
Marie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Marie has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marie E Gilman | Marie Ellen Gilman | Marie Ellen Klein
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.
CRS (Client Relationship Summary) - RIA
Click below to view Marie Gilman Klein'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
February 10, 2022 - Present
MORGAN STANLEY INVESTMENT MANAGEMENT INC.
Office #1: 1585 Broadway, New York, NY 10036RIA
CRD#: 110353
New York, NY
Current
January 15, 2022 - Present
EATON VANCE DISTRIBUTORS, INC.
Office #1: 1585 Broadway, New York, NY 10036BD
CRD#: 37731
New York, NY
Past
November 22, 2019 - January 15, 2022
MORGAN STANLEY INVESTMENT MANAGEMENT INC.
RIA
CRD#: 110353
NEW YORK, NY
Past
November 22, 2019 - January 15, 2022
MORGAN STANLEY DISTRIBUTION, INC.
BD
CRD#: 30344
New York, NY
Past
November 8, 2018 - October 31, 2019
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
RIA
CRD#: 105790
BOSTON, MA
Past
July 17, 2018 - November 8, 2018
MANULIFE INVESTMENT MANAGEMENT (US) LLC
RIA
CRD#: 106435
Boston, MA
Past
March 30, 2018 - October 31, 2019
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
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(1/15/2022)
RR
Alaska(1/15/2022)
RR
Arizona(1/15/2022)
RR
Arkansas(1/15/2022)
RR
California(1/15/2022)
RR
Colorado(1/15/2022)
RR
Connecticut(1/15/2022)
RR
Delaware(1/15/2022)
RR
District of Columbia(1/15/2022)
RR
Florida(1/15/2022)
RR
Georgia(1/15/2022)
RR
Hawaii(1/15/2022)
RR
Idaho(1/15/2022)
RR
Illinois(1/15/2022)
RR
Indiana(1/15/2022)
RR
Iowa(1/15/2022)
RR
Kansas(1/15/2022)
RR
Kentucky(1/15/2022)
RR
Louisiana(1/15/2022)
RR
Maine(1/15/2022)
RR
Maryland(1/15/2022)
RR
Massachusetts(1/15/2022)
RR
Michigan(1/15/2022)
RR
Minnesota(1/15/2022)
RR
Mississippi(1/15/2022)
RR
Missouri(1/15/2022)
RR
Montana(1/15/2022)
RR
Nebraska(1/15/2022)
RR
Nevada(1/15/2022)
RR
New Hampshire(1/15/2022)
RR
New Jersey(1/15/2022)
RR
New Mexico(1/15/2022)
RR
New York(1/15/2022)
IAR
New York(2/10/2022)
RR
North Carolina(1/15/2022)
RR
North Dakota(1/15/2022)
RR
Ohio(1/15/2022)
RR
Oklahoma(1/15/2022)
RR
Oregon(1/15/2022)
RR
Pennsylvania(1/15/2022)
RR
Puerto Rico(1/15/2022)
RR
Rhode Island(1/15/2022)
RR
South Carolina(1/15/2022)
RR
South Dakota(1/15/2022)
RR
Tennessee(1/15/2022)
RR
Texas(1/15/2022)
RR
Utah(1/15/2022)
RR
Vermont(1/15/2022)
RR
Virginia(1/15/2022)
RR
Washington(1/15/2022)
RR
West Virginia(1/15/2022)
RR
Wisconsin(1/15/2022)
RR
Wyoming(1/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
