Marc W. Vraciu
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.
Marc William Vraciu was a registered financial advisor .
Marc is a previously registered financial advisor and started their career in finance in 1981. Marc had worked at 10 firms and has passed the Series 66, Series 63, Series 31, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2007 - June 11, 2008
MORGAN STANLEY & CO. LLC
August 13, 2007 - June 11, 2008
MORGAN STANLEY & CO. LLC
July 11, 2002 - January 3, 2003
WHITEHALL-PARKER SECURITIES, INC.
July 1, 1999 - September 14, 2001
WHITEHALL-PARKER SECURITIES, INC.
July 22, 1997 - September 10, 1998
WHITEHALL-PARKER SECURITIES, INC.
November 26, 1996 - May 29, 1997
RODMAN & RENSHAW INC.
July 14, 1995 - March 29, 1996
BROOKSTREET SECURITIES CORPORATION
June 3, 1993 - August 17, 1994
DAKIN SECURITIES CORPORATION
May 29, 1991 - June 10, 1993
SUTRO & CO. INCORPORATED
September 4, 1990 - May 23, 1991
WELLS FARGO CLEARING SERVICES, LLC
May 11, 1988 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 3, 1986 - June 8, 1988
UBS FINANCIAL SERVICES INC.
January 19, 1981 - January 11, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
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: 6/26/1985
Interest Rate Options ExaminationCurrent Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
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.
