Alfredo Formentano

CRD 1621916 · Morgan Stanley · Birmingham, AL

IA RegisteredBroker

Also appears in the source record as: Al Formentano

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 66Series 63Series 10Series 9SIESeries 7Series 52
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 39
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 (13)

From the source registration record · current first

Morgan StanleyCurrent
Birmingham, AL · IA capacity

Sep 6, 2022 → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Nov 17, 2008 → Aug 30, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Nov 17, 2008 → Aug 30, 2022
Ubs Financial Services Inc.
BD capacity

Feb 4, 2005 → Sep 29, 2008
Ubs Financial Services Inc.
IA capacity

Feb 4, 2005 → Sep 29, 2008
Td Waterhouse Investor Services, Inc.
IA capacity

May 11, 2004 → Jan 12, 2005
Td Waterhouse Investor Services, Inc.
BD capacity

Apr 26, 2004 → Jan 12, 2005
E*trade Advisory Services, Inc.
IA capacity

Jun 25, 2002 → Jun 11, 2003
E*trade Securities LLC
BD capacity

Jun 14, 2002 → Jun 11, 2003
Investment Advisors
IA capacity

Jun 4, 2002 → Jun 12, 2002
Proequities, Inc.
BD capacity

May 9, 2002 → Jun 12, 2002
Ubs Painewebber Inc.
BD capacity

May 15, 2000 → Feb 12, 2002
Southern Securities Investment Bankers, Inc.
BD capacity

Feb 19, 1987 → Jun 29, 1987

Source & corrections

Where this page comes from

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