Zane Tyson
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.
Zane Tyson was a registered financial professional .
Zane is a previously registered financial professional and started their career in finance in 1980. Zane had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2012 - June 19, 2017
MORGAN STANLEY
April 3, 2012 - June 19, 2017
MORGAN STANLEY
June 1, 2009 - February 13, 2012
MORGAN STANLEY
June 1, 2009 - February 13, 2012
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 3, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
February 14, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
July 20, 2000 - November 1, 2001
JOSEPHTHAL & CO., INC.
January 4, 1999 - July 31, 2000
OPPENHEIMER & CO. INC.
September 14, 1994 - December 30, 1998
GLEACHER & COMPANY SECURITIES, INC.
June 3, 1992 - September 21, 1994
CIBC WORLD MARKETS CORP.
September 12, 1990 - June 9, 1992
TUCKER ANTHONY INCORPORATED
February 9, 1988 - September 21, 1990
FINANCIAL SQUARE PARTNERS
June 26, 1980 - February 18, 1988
L. F. ROTHSCHILD & CO. 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 15
Date: 5/18/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/5/1982
Interest Rate Options ExaminationSeries 8
Date: 5/27/1986
General Securities Sales Supervisor Examination (Options Module & General Module)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.
