Daniel P. Hundley
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.
Daniel Perry Hundley, who also goes by Daniel P Hundley, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1976. Daniel had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2012 - August 25, 2015
MORGAN STANLEY
August 13, 2012 - August 25, 2015
MORGAN STANLEY
December 2, 1999 - August 10, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 30, 1999 - August 10, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 2, 1992 - November 19, 1999
SUNPOINT SECURITIES, INC.
January 4, 1984 - July 9, 1992
MORGAN STANLEY DW INC.
June 11, 1979 - February 22, 1984
PRUDENTIAL EQUITY GROUP, LLC
January 18, 1978 - July 15, 1979
LOEB PARTNERS
June 29, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
May 19, 1976 - July 25, 1977
AMERICAN EXPRESS FINANCIAL CORPORATION
May 19, 1976 - July 25, 1977
AMERIPRISE FINANCIAL SERVICES, LLC
May 19, 1976 - July 25, 1977
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 1
Date: 5/13/1976
Registered Representative ExaminationSeries 8
Date: 4/5/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
