James P. Sennett
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.
James Provost Sennett was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1978. James had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 10, Series 9 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
August 11, 2020 - November 23, 2021
MORGAN STANLEY
March 19, 2020 - November 23, 2021
MORGAN STANLEY
September 27, 2016 - February 10, 2020
TRUIST ADVISORY SERVICES, INC.
September 27, 2013 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
September 27, 2013 - February 10, 2020
TRUIST INVESTMENT SERVICES, INC.
May 2, 2006 - September 17, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 3, 2006 - September 17, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 10, 2004 - January 6, 2006
AMERICAN GENERAL EQUITY SERVICES CORPORATION
November 23, 1992 - May 26, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
June 9, 1992 - December 9, 1992
AETNA LIFE INSURANCE AND ANNUITY COMPANY
December 18, 1990 - August 20, 1991
NATIONWIDE INVESTMENT SERVICES CORPORATION
October 12, 1978 - January 23, 1991
TOWER SQUARE 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
Series 1
Date: 10/4/1978
Registered Representative 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.
