AR
Arnav Roy
MORGAN STANLEY & CO. LLC
New York, NY 10036
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CRD#: 7221133
AR
Professional summary
Arnav Roy is a registered financial professional currently at MORGAN STANLEY & CO. LLC located in New York, New York.
Arnav is registered as a RR (Registered Representative) and started their career in finance in 2021. Arnav has worked at 3 firms and has passed the Series 63, Series 79TO, Series 52TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Arnav Roy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 17, 2024 - Present
MORGAN STANLEY & CO. LLC
Office #1: 1585 Broadway, New York, NY 10036BD
CRD#: 8209
New York, NY
Past
March 23, 2022 - May 10, 2024
SAMUEL A. RAMIREZ & COMPANY, INC.
BD
CRD#: 6963
NEW YORK, NY
Past
August 30, 2021 - March 25, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/17/2024)
RR
Alaska(5/17/2024)
RR
Arizona(5/17/2024)
RR
Arkansas(5/17/2024)
RR
California(5/17/2024)
RR
Colorado(5/17/2024)
RR
Connecticut(5/17/2024)
RR
Delaware(5/17/2024)
RR
District of Columbia(5/17/2024)
RR
Florida(5/17/2024)
RR
Georgia(5/17/2024)
RR
Hawaii(5/17/2024)
RR
Idaho(5/17/2024)
RR
Illinois(5/17/2024)
RR
Indiana(5/17/2024)
RR
Iowa(5/17/2024)
RR
Kansas(5/17/2024)
RR
Kentucky(5/17/2024)
RR
Louisiana(5/17/2024)
RR
Maine(5/17/2024)
RR
Maryland(5/17/2024)
RR
Massachusetts(5/17/2024)
RR
Michigan(5/17/2024)
RR
Minnesota(5/17/2024)
RR
Mississippi(5/17/2024)
RR
Missouri(5/17/2024)
RR
Montana(5/17/2024)
RR
Nebraska(5/17/2024)
RR
Nevada(5/17/2024)
RR
New Hampshire(5/17/2024)
RR
New Jersey(5/17/2024)
RR
New Mexico(5/17/2024)
RR
New York(5/17/2024)
RR
North Carolina(5/17/2024)
RR
North Dakota(5/17/2024)
RR
Ohio(5/17/2024)
RR
Oklahoma(5/17/2024)
RR
Oregon(5/17/2024)
RR
Pennsylvania(5/17/2024)
RR
Puerto Rico(5/17/2024)
RR
Rhode Island(5/17/2024)
RR
South Carolina(5/17/2024)
RR
South Dakota(5/17/2024)
RR
Tennessee(5/17/2024)
RR
Texas(5/17/2024)
RR
Utah(5/17/2024)
RR
Vermont(5/17/2024)
RR
Virgin Islands(5/17/2024)
RR
Virginia(5/17/2024)
RR
Washington(5/17/2024)
RR
West Virginia(5/17/2024)
RR
Wisconsin(5/17/2024)
RR
Wyoming(5/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 8/23/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 8/28/2021
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
New York Stock Exchange
Current Firm
MS
MORGAN STANLEY & CO. LLC
MORGAN STANLEY | MORGAN STANLEY DEAN WITTER | MORGAN STANLEY & CO., INCORPORATED | MORGAN STANLEY & CO. LLC | MORGAN STANLEY & CO. INCORPORATED
CRD#: 8209 / SEC#: , 8-15869
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1585 Broadway, New York, NY 10036-8293
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(212) 761-4000
Established
Delaware since 12/03/1969
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
