Bruce T. Odell
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.
Bruce Thomas Odell was a registered financial advisor .
Bruce is a previously registered financial advisor and started their career in finance in 1976. Bruce had worked at 10 firms and has passed the Series 63, Series 31, Series 41, Series 7 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 - June 17, 2011
MORGAN STANLEY
June 1, 2009 - June 17, 2011
MORGAN STANLEY
July 26, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 10, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 1, 1995 - July 24, 2007
CITIGROUP GLOBAL MARKETS INC.
June 18, 1992 - July 24, 2007
CITIGROUP GLOBAL MARKETS INC.
August 6, 1990 - June 9, 1992
CIBC WORLD MARKETS CORP.
June 2, 1989 - July 30, 1990
LEHMAN BROTHERS INC.
September 18, 1984 - June 3, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 2, 1982 - August 17, 1984
I.M. SIMON & CO., INC.
December 20, 1979 - November 9, 1981
STIX & CO., INC.
March 13, 1978 - January 7, 1980
E. F. HUTTON & COMPANY INC
October 21, 1976 - April 4, 1978
WHITE, WELD & 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 41
Date: 8/1/1982
NYSE Allied Member 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.
