Edward R. Hipp
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.
Edward R. Hipp III, who also goes by Edward Reginald Hipp III, Edward Reginald Hipp, Edward R. Hipp III Iii, Edward Reginald Hipp Iii Iii, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1975. Edward had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 15, Series 5, Series 7, Series 53, Series 4, Series 12 and Series 24 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 - October 7, 2020
MORGAN STANLEY
June 1, 2009 - October 7, 2020
MORGAN STANLEY
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 8, 2002 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
September 24, 2001 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
May 11, 1995 - September 4, 2001
JBS LIBERTY SECURITIES, INC.
November 3, 1987 - May 1, 1995
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
May 30, 1986 - May 1, 1995
LEGG MASON WOOD WALKER, INCORPORATED
January 31, 1980 - May 29, 1986
UBS FINANCIAL SERVICES INC.
August 11, 1977 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 2, 1975 - September 12, 1977
DEAN WITTER & 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 15
Date: 6/12/1985
Foreign Currency Options ExaminationSeries 5
Date: 10/20/1981
Interest Rate Options ExaminationSeries 12
Date: 5/21/1981
NYSE Branch Manager 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.
