Herbert C Hooley

CRD 1325239 · Morgan Stanley · Syracuse, NY

IA RegisteredBroker

Also appears in the source record as: Chip Hooley; Herbert C Hooley Jr; Herbert Charles Hooley Jr; Herbert Hooley; Herbert C Hooley Jr Jr; Herbert C Hooley Jr. Jr

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 65Series 63Series 9Series 10Series 8SIESeries 31Series 7
Registered states (27): Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Indiana · Maine · Maryland · Massachusetts · Montana · New Hampshire · New York · North Carolina · Ohio · Pennsylvania · Rhode Island · South Carolina · Texas · Vermont · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 41
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (6)

From the source registration record · current first

Morgan StanleyCurrent
Syracuse, NY · IA capacity

Jun 1, 2009 → present
Morgan Stanley & Co. Incorporated
IA capacity

Jul 11, 2008 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
BD capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley Dw Inc.
BD capacity

Jul 20, 2000 → Apr 2, 2007
Tucker Anthony Incorporated
BD capacity

Apr 5, 1988 → Jul 24, 2000
Dean Witter Reynolds Inc.
BD capacity

Jan 23, 1985 → Apr 21, 1988

Source & corrections

Where this page comes from

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