Robert Joseph Patten

CRD 1436524 · Morgan Stanley · Mystic, CT

IA RegisteredBroker

Also appears in the source record as: Bob Patten

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 65Series 63Series 10Series 9SIESeries 31Series 7Series 6
Registered states (31): Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Maine · Maryland · Massachusetts · Minnesota · Missouri · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Vermont · Virginia
Years in the industry (source record): 40
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 (9)

From the source registration record · current first

Morgan StanleyCurrent
Mystic, CT · IA capacity

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

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
IA capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley
IA capacity

Mar 4, 1999 → Apr 2, 2007
Morgan Stanley Dw Inc.
BD capacity

Nov 22, 1995 → Apr 2, 2007
Smith Barney Inc.
BD capacity

Jul 31, 1993 → Nov 27, 1995
Lehman Brothers Inc.
BD capacity

Jan 25, 1993 → Jul 31, 1993
Janney Montgomery Scott Inc.
BD capacity

Nov 10, 1987 → Jan 26, 1993
First Investors Corporation
BD capacity

Jan 6, 1986 → Nov 20, 1987

Source & corrections

Where this page comes from

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