Details

MORGAN STANLEY & CO LLC NFA ID: 0003045

 Current Status 
• ALSO SEE NFA ID 0256935 
 
• SWAP DEALER PROVISIONALLY REGISTERED 
• SWAP FIRM APPROVED 
• EXEMPT FOREIGN FIRM AGENT APPROVED 
• NFA MEMBER APPROVED 
• FUTURES COMMISSION MERCHANT REGISTERED 
 FCM Financial Information 
Click the link below to view financial information for this firm.
View Financial Information
 Firm Activity Status 
Firm has on-exchange futures and/or options customer accountsYes
Firm is soliciting customersYes
Firm manages futures or options customer accountsNo
Firm operates commodity poolsNo
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
 Regulatory Actions 
 AgencyNumber
NFA0
CFTC4
Exchanges71
details...
 NFA Arbitration Decisions 
 RoleNumber
Claimant0
Respondent1
details...
 CFTC Reparations Cases 
Total0
details...
 Formerly Known As 
• MORGAN STANLEY & CO INC
• MORGAN STANLEY & CO INCORPORATED
 Business Address 
1585 BROADWAY
NEW YORK, NY  10036
UNITED STATES
(212) 761-4000
 Doing Business As 
No other names
 Listed Principals 
 Listed Principal Name Title(s) 10% or More
Financial Interest
CRAIG T ABRUZZOHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
MOHIT ASHOK ASSOMULLDIRECTOR
NO
EDWARD RUSSELL BACKERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
MATTHEW EVAN BERKECHIEF EXECUTIVE OFFICER
NO
BELINDA ANNE BLAINECHIEF COMPLIANCE OFFICER
NO
LEO CIVITILLOHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
SEBASTIAN J CRAPANZANOHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
PHILIP JAMES DAVIESHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
BRIAN CHRISTOPHER HEALYCHIEF EXECUTIVE OFFICER
NO
WILLIAM DAVID HIRSHORNHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
DANIEL KOSOWSKYCHIEF COMPLIANCE OFFICER
NO
GARY MICHAEL LYNNCHIEF FINANCIAL OFFICER
NO
SEAN MICHAEL MAHERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
GRAEME MCEVOYHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
MORGAN STANLEY DOMESTIC HOLDINGS INC
YES
SARAH JANE NOLANHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
SENAD PRUSACHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
MICHAEL ALLEN STERNDIRECTOR
NO
DAVID TODD SULLIVANHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
RODNEY L SUNADA WONGHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
JASON SWANKOSKIHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
JASON SCOTT TARANTINOHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
THOMAS GEORGE WIPFDIRECTOR
NO
 History 
 Status Effective Date
• ALSO SEE NFA ID 0256935 
 
• SWAP DEALER PROVISIONALLY REGISTERED12/31/2012 
• SWAP DEALER PENDING12/12/2012 
• SWAP FIRM APPROVED11/26/2012 
• SWAP FIRM PENDING11/16/2012 
• EXEMPT FOREIGN FIRM AGENT APPROVED07/07/1989 
• NFA MEMBER APPROVED07/01/1982 
• FUTURES COMMISSION MERCHANT REGISTERED06/30/1982