Anthony J Essma

CRD 1949462 · Morgan Stanley · San Mateo, CA

IA RegisteredBroker

Also appears in the source record as: Anthony Joseph Essma; Tony Essma

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 65Series 63Series 9Series 10Series 8SIESeries 3Series 7Series 6
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): 37
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
San Mateo, CA · IA capacity

Nov 16, 2021 → present
Ubs Financial Services Inc.
IA capacity

Apr 1, 2015 → Nov 11, 2021
Ubs Financial Services Inc.
BD capacity

Oct 22, 2014 → Nov 11, 2021
Scottrade, Inc.
BD capacity

Feb 13, 2006 → Aug 28, 2014
Charles Schwab & Co., Inc.
BD capacity

Dec 19, 1989 → Jan 18, 2006
B C Financial Corporation
BD capacity

Jul 18, 1989 → Oct 3, 1989
First Investors Corporation
BD capacity

May 15, 1989 → Jun 14, 1989

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1949462 ↗ FINRA BrokerCheck record for CRD 1949462 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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