Susan C Lemasters

CRD 1578947 · Morgan Stanley · Jacksonville, FL

IA RegisteredBroker

Also appears in the source record as: Susan Cauthen Davis; Susan Cauthen Friloux; Susan C Lemaster; Susan C Lemasters Ms.; Susan Cauthen Lemasters

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63Series 53SIESeries 31Series 7
Registered states (47): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 32
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 (7)

From the source registration record · current first

Morgan StanleyCurrent
Jacksonville, FL · IA capacity

Oct 28, 2009 → present
Morgan Stanley & Co. Incorporated
BD capacity

Oct 13, 2008 → Jun 1, 2009
Compass Brokerage, Inc.
BD capacity

Jul 13, 2006 → Mar 2, 2007
Axa Advisors, LLC
BD capacity

Dec 13, 2004 → Jul 18, 2005
Axa Advisors, LLC
BD capacity

Apr 7, 2000 → Jan 23, 2003
Axa Advisors, LLC
IA capacity

Apr 7, 2000 → Jan 23, 2003
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

May 23, 1994 → Mar 31, 2000

Source & corrections

Where this page comes from

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