AF
Alex J. Fial
MORGAN STANLEY & CO. LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 7515060
AF
Professional summary
Alex Jeffrey Fial, who also goes by Alex Fial, is a registered financial professional currently at MORGAN STANLEY & CO. LLC located in New York, New York.
Alex is registered as a RR (Registered Representative) and started their career in finance in 2022. Alex has worked at 3 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alex Fial
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 Alex Jeffrey Fial'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
September 4, 2025 - Present
MORGAN STANLEY & CO. LLC
Office #1: 1585 Broadway, New York, NY 10036BD
CRD#: 8209
New York, NY
Past
July 26, 2022 - August 27, 2025
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
March 8, 2022 - June 21, 2022
M&T SECURITIES, INC.
BD
CRD#: 17358
BALTIMORE, MD
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(9/4/2025)
RR
Alaska(9/4/2025)
RR
Arizona(9/4/2025)
RR
Arkansas(9/4/2025)
RR
California(9/4/2025)
RR
Colorado(9/4/2025)
RR
Connecticut(9/4/2025)
RR
Delaware(9/4/2025)
RR
District of Columbia(9/4/2025)
RR
Florida(9/4/2025)
RR
Georgia(9/4/2025)
RR
Hawaii(9/4/2025)
RR
Idaho(9/4/2025)
RR
Illinois(9/4/2025)
RR
Indiana(9/4/2025)
RR
Iowa(9/4/2025)
RR
Kansas(9/4/2025)
RR
Kentucky(9/4/2025)
RR
Louisiana(9/4/2025)
RR
Maine(9/4/2025)
RR
Maryland(9/4/2025)
RR
Massachusetts(9/4/2025)
RR
Michigan(9/4/2025)
RR
Minnesota(9/4/2025)
RR
Mississippi(9/4/2025)
RR
Missouri(9/4/2025)
RR
Montana(9/4/2025)
RR
Nebraska(9/4/2025)
RR
Nevada(9/4/2025)
RR
New Hampshire(9/4/2025)
RR
New Jersey(9/4/2025)
RR
New Mexico(9/4/2025)
RR
New York(9/4/2025)
RR
North Carolina(9/4/2025)
RR
North Dakota(9/4/2025)
RR
Ohio(9/8/2025)
RR
Oklahoma(9/4/2025)
RR
Oregon(9/4/2025)
RR
Pennsylvania(9/4/2025)
RR
Puerto Rico(9/4/2025)
RR
Rhode Island(9/4/2025)
RR
South Carolina(9/4/2025)
RR
South Dakota(9/4/2025)
RR
Tennessee(9/4/2025)
RR
Texas(9/4/2025)
RR
Utah(9/4/2025)
RR
Vermont(9/4/2025)
RR
Virgin Islands(9/4/2025)
RR
Virginia(9/4/2025)
RR
Washington(9/4/2025)
RR
West Virginia(9/4/2025)
RR
Wisconsin(9/4/2025)
RR
Wyoming(9/4/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 3/8/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
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 |
| HIRSHORN, WILLIAM DAVID | PRINCIPAL OPERATIONS OFFICER | 1564223 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| 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.
