Thomas Bernard Courtney

CRD 1875184 · Morgan Stanley · New York, NY

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (25): Alabama · California · Colorado · Connecticut · Florida · Georgia · Illinois · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nevada · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Puerto Rico · South Carolina · Texas · Vermont · Wisconsin
Years in the industry (source record): 38
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1875184 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 (9)

From the source registration record · current first

Morgan StanleyCurrent
New York, NY · IA capacity

Oct 26, 2018 → present
Ubs Financial Services Inc.
IA capacity

May 28, 2009 → Nov 7, 2018
Ubs Financial Services Inc.
BD capacity

Nov 20, 2008 → Nov 7, 2018
Morgan Stanley & Co. Incorporated
BD capacity

Apr 2, 2007 → Nov 21, 2008
Morgan Stanley Dw Inc.
BD capacity

Nov 3, 2000 → Apr 2, 2007
Prudential Securities Incorporated
BD capacity

Dec 4, 1997 → Oct 26, 2000
Smith Barney Inc.
BD capacity

Sep 2, 1993 → Dec 4, 1997
Gruntal & Co. Incorporated
BD capacity

Aug 16, 1989 → Sep 15, 1993
D. H. Blair & Co., Inc.
BD capacity

Sep 20, 1988 → Aug 19, 1989

Source & corrections

Where this page comes from

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