Dennis R. Metter
Professional summary
Dennis Robert Metter was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dennis Robert Metter was a registered financial advisor .
Dennis is a previously registered financial advisor and started their career in finance in 1977. Dennis had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2007 - August 15, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - August 15, 2008
MORGAN STANLEY & CO. LLC
September 6, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
September 6, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
October 17, 2000 - September 6, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 26, 2000 - September 6, 2005
WELLS FARGO CLEARING SERVICES, LLC
May 4, 1990 - October 3, 2000
TUCKER ANTHONY INCORPORATED
June 25, 1987 - August 9, 1988
SMITH BELLINGHAM INTERNATIONAL, INC.
December 8, 1986 - June 4, 1987
BALDWIN CAPITAL PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP
July 9, 1984 - December 18, 1985
MORGAN STANLEY DW INC.
July 15, 1982 - June 25, 1984
SUTRO & CO. INCORPORATED
March 24, 1981 - June 29, 1981
MORGAN STANLEY DW INC.
March 19, 1980 - April 23, 1981
BIRR, WILSON & CO., INC.
July 27, 1979 - January 11, 1980
MORGAN STANLEY DW INC.
July 9, 1979 - August 6, 1979
LEHMAN BROTHERS INC.
May 1, 1979 - August 21, 1979
LOEB PARTNERS
November 8, 1978 - June 10, 1979
J.P. MORGAN SECURITIES LLC
October 26, 1977 - December 6, 1978
PRUDENTIAL EQUITY GROUP, LLC
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 & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
Red Flags
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