James Garner

CRD 1497791 · Morgan Stanley · Little Rock, AR

IA RegisteredBroker

Also appears in the source record as: James Hydrick Garner; Jim H Garner; Jim Garner

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 3Series 7
Registered states (45): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 39
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1497791 contains one or more disclosure events as of Aug 20, 2026.

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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 (11)

From the source registration record · current first

Morgan StanleyCurrent
Little Rock, AR · IA capacity

Oct 7, 2025 → present
Raymond James & Associates, Inc.
BD capacity

Apr 27, 2015 → Oct 21, 2025
Raymond James & Associates, Inc.
IA capacity

Apr 27, 2015 → Oct 21, 2025
Ubs Financial Services Inc.
BD capacity

Sep 6, 2006 → May 6, 2015
Ubs Financial Services Inc.
IA capacity

Sep 6, 2006 → May 6, 2015
Stephens Inc.
IA capacity

Aug 5, 1999 → Sep 7, 2006
Stephens Inc.
BD capacity

Aug 27, 1993 → Sep 7, 2006
Painewebber Incorporated
BD capacity

May 4, 1990 → Aug 20, 1993
Barnett Brokerage Service, Inc.
BD capacity

Feb 1, 1990 → May 14, 1990
Painewebber Incorporated
BD capacity

Nov 17, 1988 → Jan 1, 1990
Shearson Lehman Hutton Inc.
BD capacity

Jul 2, 1987 → Nov 29, 1988

Source & corrections

Where this page comes from

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