Mark A. Luning
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.
Mark Anton Luning was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1980. Mark had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 5 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2017 - October 15, 2025
MORGAN STANLEY
March 21, 2017 - October 15, 2025
MORGAN STANLEY
February 9, 2015 - October 26, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 23, 2015 - October 26, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 18, 2013 - January 20, 2015
AUSTIN ATLANTIC CAPITAL INC.
September 9, 2004 - March 16, 2009
ALLIANCEBERNSTEIN INVESTMENTS, INC.
July 30, 1990 - February 3, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 14, 1989 - July 20, 1990
LEHMAN SPECIAL SECURITIES INC.
March 14, 1989 - July 20, 1990
LEHMAN BROTHERS INC.
March 14, 1989 - July 20, 1990
LEHMAN GOVERNMENT SECURITIES INC.
November 20, 1980 - November 14, 1988
GOLDMAN SACHS & CO. LLC
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: 10/16/1981
Interest Rate Options ExaminationSeries 8
Date: 3/19/1988
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.
