Keith F. Pinsoneault
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.
Keith Francis Pinsoneault, who also goes by Keith F Pinsoneault, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1975. Keith had worked at 9 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 41, Series 16 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2021 - December 4, 2025
MORGAN STANLEY
August 23, 2021 - December 4, 2025
MORGAN STANLEY
June 1, 2021 - June 2, 2021
MORGAN STANLEY
April 29, 1998 - June 30, 2021
OPTIMUM INVESTMENT ADVISORS, LLC
June 7, 1994 - June 23, 1994
HBSS SECURITIES, INC.
June 7, 1994 - January 6, 1997
RODMAN & RENSHAW INC.
September 20, 1991 - March 23, 1992
ROTH CAPITAL PARTNERS, LLC
May 9, 1985 - October 12, 1989
SUTRO & CO. INCORPORATED
April 20, 1983 - April 15, 1985
UNDERWOOD, NEUHAUS & CO., INCORPORATED
April 4, 1978 - April 4, 1983
BLUNT ELLIS & LOEWI INCORPORATED
March 1, 1975 - April 4, 1978
LOEWI & CO., INCORPORATED
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 7TO
Date: 7/16/2021
General Securities Representative ExaminationSeries 41
Date: 9/30/1977
NYSE Allied Member ExaminationSeries 40
Date: 2/21/1975
Registered Principal ExaminationCurrent 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.
