Michelle A. Lema
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.
Michelle Alicia Lema, who also goes by Michelle Alicia Lema, Michelle Lema, Michelle Alicia Salmonson, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1988. Michelle had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 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
January 9, 2018 - May 16, 2023
MORGAN STANLEY
January 9, 2018 - May 16, 2023
MORGAN STANLEY
December 5, 2012 - December 26, 2017
TD AMERITRADE, INC.
December 5, 2012 - December 26, 2017
TD AMERITRADE, INC.
October 21, 2011 - November 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 2011 - November 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2011 - October 3, 2011
TD AMERITRADE, INC.
April 25, 2011 - October 3, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 25, 2011 - October 3, 2011
TD AMERITRADE, INC.
July 23, 2010 - April 8, 2011
LPL FINANCIAL LLC
July 23, 2010 - April 8, 2011
LPL FINANCIAL LLC
September 7, 2006 - March 5, 2009
CITIGROUP GLOBAL MARKETS INC.
September 7, 2006 - March 5, 2009
CITIGROUP GLOBAL MARKETS INC.
July 18, 2005 - September 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 2005 - September 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 2005 - June 24, 2005
CITIGROUP GLOBAL MARKETS INC.
May 18, 2005 - June 24, 2005
CITIGROUP GLOBAL MARKETS INC.
July 6, 1999 - April 20, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 1999 - April 20, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 16, 1994 - November 17, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - August 3, 1994
CITIGROUP GLOBAL MARKETS INC.
August 25, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
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 8
Date: 2/11/1992
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.
