Robert D. Bronfman
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.
Robert Dean Bronfman was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 24 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27 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
May 29, 2014 - March 3, 2026
MORGAN STANLEY
March 28, 2014 - March 3, 2026
MORGAN STANLEY
January 2, 2013 - April 4, 2014
BB&T SECURITIES, LLC
November 21, 2012 - April 4, 2014
BB&T SECURITIES, LLC
March 20, 2007 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
January 5, 2006 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
June 26, 2001 - January 12, 2006
BERGEN CAPITAL, INC.
June 8, 2001 - June 25, 2001
BISHOP, ROSEN & CO., INC.
June 21, 2000 - July 6, 2001
ARJENT LTD.
July 23, 1997 - May 26, 2000
R.D. WHITE & CO., INC.
December 21, 1993 - December 19, 1997
SFI INVESTMENTS, INC.
September 30, 1992 - February 5, 1993
ALLEN & PIERCE SECURITIES INC.
March 26, 1991 - April 27, 1992
HENNION & WALSH, INC.
October 4, 1990 - February 15, 1991
MUNICIPAL INVESTORS SERVICE, INC.
October 30, 1987 - June 7, 1990
WILSHIRE CLEARING CORPORATION
November 7, 1984 - August 9, 1985
EMMETT A LARKIN COMPANY, INC.
August 30, 1984 - October 5, 1984
EASTERN CAPITAL SECURITIES, INC.
June 1, 1983 - December 18, 1987
EASTERN CAPITAL CORPORATION
April 5, 1983 - June 30, 1983
GNP SECURITIES, INC.
August 19, 1982 - November 3, 1982
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
April 3, 1981 - November 18, 1982
MORGAN STANLEY DW INC.
March 21, 1980 - April 5, 1981
BIRR, WILSON & CO., INC.
January 28, 1980 - November 19, 1983
LEHMAN BROTHERS INC.
July 9, 1979 - August 6, 1979
LEHMAN BROTHERS INC.
May 17, 1979 - August 21, 1979
LOEB PARTNERS
November 29, 1978 - November 5, 1983
J.P. MORGAN SECURITIES LLC
January 9, 1978 - December 6, 1978
PRUDENTIAL EQUITY GROUP, LLC
April 21, 1977 - January 27, 1978
REYNOLDS SECURITIES, INC.
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
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 | 116 |
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.
