Wendell I. Misawa
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.
Wendell Isamu Misawa was a registered financial professional .
Wendell is a previously registered financial professional and started their career in finance in 1975. Wendell had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 7 and Series 1 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 - January 27, 2023
MORGAN STANLEY
June 1, 2009 - January 27, 2023
MORGAN STANLEY
December 10, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 7, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 1, 2003 - December 10, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - December 10, 2007
WELLS FARGO CLEARING SERVICES, LLC
March 27, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 9, 1996 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 14, 1980 - September 26, 1996
MORGAN STANLEY DW INC.
January 31, 1980 - October 12, 1980
UBS FINANCIAL SERVICES INC.
January 23, 1976 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
March 10, 1975 - February 12, 1976
AMERICAN EXPRESS FINANCIAL CORPORATION
March 10, 1975 - February 12, 1976
AMERIPRISE FINANCIAL SERVICES, LLC
March 10, 1975 - February 12, 1976
IDS LIFE INSURANCE COMPANY
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 5
Date: 12/11/1982
Interest Rate Options ExaminationPC
Date: 4/22/1981
AMEX Put and Call ExamSeries 1
Date: 3/6/1975
Registered Representative 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.
