John M. Wiens
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.
John Michael Wiens was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1980. John had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2019 - September 22, 2025
MORGAN STANLEY
March 29, 2019 - September 22, 2025
MORGAN STANLEY
April 17, 2013 - September 13, 2018
ALPS DISTRIBUTORS, INC.
June 3, 2011 - September 13, 2018
STADION MONEY MANAGEMENT, LLC
March 31, 2011 - April 12, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 2011 - April 12, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 2010 - April 4, 2011
J.P. MORGAN SECURITIES LLC
January 21, 2009 - March 12, 2010
BARCLAYS CAPITAL INC.
September 22, 2008 - March 12, 2010
BARCLAYS CAPITAL INC.
May 30, 2007 - October 15, 2008
LEHMAN BROTHERS INC.
May 1, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
January 28, 1997 - February 16, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 9, 1996 - February 16, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 4, 1994 - October 9, 1996
HSBC SECURITIES (USA) INC.
April 15, 1992 - October 6, 1994
ALEX. BROWN & SONS INCORPORATED
September 29, 1988 - March 25, 1991
CITICORP SECURITIES, INC.
October 29, 1984 - June 8, 1988
UBS FINANCIAL SERVICES INC.
March 21, 1980 - August 31, 1984
BECKER PARIBAS INCORPORATED
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
Series 5
Date: 11/18/1986
Interest Rate Options ExaminationCurrent 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.
