Steven Thomas Norris

CRD 1510482 · Morgan Stanley · Hartford, CT

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63SIESeries 31Series 7Series 6
Registered states (38): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Illinois · Indiana · Iowa · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Texas · Utah · Vermont · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 29
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 (10)

From the source registration record · current first

Morgan StanleyCurrent
Hartford, CT · IA capacity

Feb 22, 2022 → present
Wells Fargo Clearing Services, LLC
BD capacity

May 17, 2010 → Mar 1, 2022
Wells Fargo Clearing Services, LLC
IA capacity

May 17, 2010 → Mar 1, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Mar 26, 2008 → May 19, 2010
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Mar 26, 2008 → May 19, 2010
Wachovia Securities, LLC
IA capacity

Apr 12, 2006 → Apr 1, 2008
Wachovia Securities, LLC
BD capacity

Mar 17, 2006 → Apr 1, 2008
Wachovia Securities, LLC
BD capacity

Aug 12, 2005 → Dec 31, 2005
Ust Securities Corp.
BD capacity

Dec 1, 2002 → Sep 30, 2003
Ust Financial Services Corp.
BD capacity

Sep 30, 1997 → Dec 1, 2002

Source & corrections

Where this page comes from

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