Sean Mark Fetterman

CRD 1918944 · Morgan Stanley · Boca Raton, FL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 63SIESeries 7Series 52Series 6
Registered states (40): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Iowa · Kansas · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 37
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1918944 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 (8)

From the source registration record · current first

Morgan StanleyCurrent
Boca Raton, FL · IA capacity

Dec 4, 2020 → present
Ubs Financial Services Inc.
IA capacity

May 19, 2008 → Dec 15, 2020
Ubs Financial Services Inc.
BD capacity

May 13, 2008 → Dec 15, 2020
Wachovia Securities, LLC
BD capacity

Jul 1, 2003 → May 15, 2008
Wachovia Securities, LLC
IA capacity

Jul 1, 2003 → May 15, 2008
Prudential Securities Incorporated
BD capacity

Nov 10, 2000 → Jul 1, 2003
Prudential Securities Incorporated
IA capacity

Nov 10, 2000 → Jul 1, 2003
Fms, Inc.
BD capacity

Jan 27, 1989 → Dec 8, 2000

Source & corrections

Where this page comes from

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