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BH

Barbara J. Hourihan

Some features on this profile are disabled
CRD#: 807466
BH

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.

Barbara J Hourihan was a registered financial professional .

Barbara is a previously registered financial professional and started their career in finance in 1975. Barbara had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, PC, Series 15 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 1, 2009 - January 6, 2020

MORGAN STANLEY

RIA
CRD#: 149777
Valparaiso, IN
Past

June 1, 2009 - January 6, 2020

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

November 29, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
CHICAGO, IL
Past

November 29, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
CHICAGO, IL
Past

February 26, 1998 - December 5, 2002

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CHICAGO, IL
Past

July 27, 1992 - December 5, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

May 1, 1989 - August 3, 1992

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

November 2, 1987 - May 11, 1989

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA
Past

January 21, 1977 - November 10, 1987

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501
Past

May 2, 1975 - February 14, 1977

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

BD
CRD#: 412

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MORGAN STANLEY
MORGAN STANLEY
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA
Registered Investment Advisory firm - SEC (5/11/2009 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/29/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/26/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/20/1989
National Commodity Futures Examination
General Industry/Product Exam
RR
PC
Date: 5/2/1989
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 15
Date: 5/17/1984
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1975
General Securities Representative Examination

Current Firm

MORGAN STANLEY
MORGAN STANLEY
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA
Registered Investment Advisory firm - SEC (5/11/2009 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
2000 Westchester Avenue, Purchase, NY 10577-2530
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(914) 225-1000
Established
Delaware since 02/02/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
29,200

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

SELECT UMA PROGRAM BROCHURE (2/4/2026)
SEPARATE MANAGED ACCOUNT WRAP PROGRAM BROCHURE (12/10/2025)
OUTSOURCED CHIEF INVESTMENT OFFICE (OCIO) (12/10/2025)
GRAYSTONE CONSULTING PROGRAM BROCHURE (12/10/2025)
PRIVATE WEALTH MANAGEMENT CONSULTING SERVICES PROGRAM BROCHURE (11/6/2025)
PORTFOLIO MANAGEMENT AND INSTITUTIONAL CASH ADVISORY PROGRAM BROCHURE (10/24/2025)
FINANCIAL PLANNING SERVICES PROGRAM BROCHURE (10/22/2025)
CONSULTING GROUP ADVISOR PROGRAM BROCHURE (10/17/2025)
SEPARATE MANAGED ACCOUNT COMMISSION-BASED PROGRAM BROCHURE (10/17/2025)
MORGAN STANLEY CORE PORTFOLIOS (3/28/2025)
ACCESS INVESTING PROGRAM BROCHURE (3/28/2025)
ALTERNATIVE INVESTMENTS WRAP PROGRAM BROCHURE (3/28/2025)
INSTITUTIONAL SERVICES PROGRAM BROCHURE (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
MORGAN STANLEY CAPITAL MANAGEMENT, LLCMEMBER
CROWE, JOHN WILLIAMCHIEF FINANCIAL OFFICER5475007
FINN, JEDDIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER5658048
FLETCHER, PATRICIA KAYTEXAS DESIGNATED PRINCIPAL1202060
GALASSO, DAVID ANTHONYPRINCIPAL OPERATIONS OFFICER1926502
GIVENS, WILLIAM BENJAMINCHIEF COMPLIANCE OFFICER (BD ONLY)2790454
HANSEN, TIMOTHY GERARDCHIEF COMPLIANCE OFFICER (IA ONLY )4956475
HENNESSY, MICHAEL SDIRECTOR1988660
JANOVER, JAMES TROYDIRECTOR2818307
TURNER, CHAD EDWARDDIRECTOR6009808

Regulatory assets under management

Total Number of Accounts2,539,760
AUM (Assets Under Management)$ 1,650,015,946,338

Disclosures

Regulatory Event66
Arbitration116

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/20/2025
Cover Page
Report
07/23/2024
Cover Page
Report
08/24/2023
Cover Page
Report

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.

Company Information

MORGAN STANLEY

MORGAN STANLEY

CRD#: 149777

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