Michael L. Pitts
Professional summary
Michael Lee Pitts was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Michael had worked at 6 firms, which includes MORGAN STANLEY DW INC., ALEX. BROWN & SONS INCORPORATED, WACHOVIA SECURITIES INC., THE ROBINSON-HUMPHREY COMPANY LLC, BLACKSTOCK & CO. INC., BLINDER ROBINSON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 1995 - April 19, 1996
MORGAN STANLEY DW INC.
April 30, 1990 - October 24, 1995
ALEX. BROWN & SONS INCORPORATED
September 26, 1989 - May 3, 1990
WACHOVIA SECURITIES, INC.
July 9, 1984 - October 16, 1989
THE ROBINSON-HUMPHREY COMPANY, LLC
April 28, 1982 - August 1, 1984
BLACKSTOCK & CO., INC.
August 19, 1980 - April 22, 1982
BLINDER, ROBINSON & CO., INC.
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 DW INC.
CRD#: 7556 / SEC#: , 8-14172
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | PARENT | |
| CHENG, NOLAND | CHIEF OPERATIONS OFFICER | 2072097 |
| CIMINERA, LAURA | CROP | 1388279 |
| GELFAND, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER | |
| GORMAN, JAMES PATRICK | PRESIDENT,CHIEF OPERATING OFFICER,CHIEF EXECUTIVE OFFICER | 4026328 |
| GUEREN, RICHARD DANIEL | SROP, EXECUTIVE DIRECTOR | 1146589 |
| HANAN, SHELLEY SUZANNE | DIRECTOR | 1327260 |
| HARRIS, RAYMOND ALBERT JR | DIRECTOR | 1363371 |
| KNAPP, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | 2514353 |
| MCMAHON, WILLIAM A | MANAGING DIRECTOR | 703705 |
| OROSCHAKOFF, MICHELLE | COMPLIANCE DIRECTOR FOR BROKER DEALER | 2403199 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL, MANAGING DIRECTOR, DIRECTOR |
Disclosures
| Regulatory Event | 152 |
| Arbitration | 606 |
Red Flags
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