Ashley C. Knaub
Professional summary
Ashley C Knaub, who also goes by Ashley Christine Knaub, Ashley Knaub, is a registered financial professional currently at MORGAN STANLEY located in South Jordan, Utah and MORGAN STANLEY & CO. LLC located in New York, New York.
Ashley is registered as a RR (Registered Representative) and started their career in finance in 2022. Ashley has worked at 3 firms and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ashley C Knaub's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 6, 2022 - Present
MORGAN STANLEY
Office #1: 680 West 10000 South, South Jordan, UT 84095January 9, 2023 - Present
MORGAN STANLEY & CO. LLC
Office #1: 1585 Broadway, New York, NY 10036October 14, 2022 - February 13, 2024
E*TRADE SECURITIES LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| HIRSHORN, WILLIAM DAVID | PRINCIPAL OPERATIONS OFFICER | 1564223 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
Red Flags
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