Haim A. Pekelis
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.
Haim Alexander Pekelis, who also goes by Hap Pekelis, Hain Alexander Pekglis, was a registered financial professional .
Haim is a previously registered financial professional and started their career in finance in 1981. Haim had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 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
June 1, 2009 - June 23, 2022
MORGAN STANLEY
June 1, 2009 - June 23, 2022
MORGAN STANLEY
March 27, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 27, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 30, 2000 - April 14, 2009
UBS FINANCIAL SERVICES INC.
October 27, 2000 - April 14, 2009
UBS FINANCIAL SERVICES INC.
February 18, 1998 - November 2, 2000
SUTRO & CO. INCORPORATED
December 3, 1990 - February 3, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 1990 - December 19, 1990
LEHMAN BROTHERS INC.
March 6, 1990 - October 12, 1990
VANGUARD CAPITAL
April 11, 1988 - March 26, 1990
LEHMAN BROTHERS INC.
January 12, 1982 - April 11, 1988
E. F. HUTTON & COMPANY INC
November 4, 1981 - January 18, 1982
AMERICAN WESTERN SECURITIES, INC.
June 22, 1981 - June 8, 1982
M. S. WIEN & CO., 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
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.
