Alicia Maria Guagliardo

CRD 2091180 · Morgan Stanley · Seattle, WA

IA RegisteredBroker

Also appears in the source record as: Alicia Guagliardo; Alicia Martinez; Alicia Maria Seiwert

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (13): Series 65Series 63Series 9Series 10Series 53Series 4Series 51Series 24Series 52TOSIESeries 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): 31
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 (19)

From the source registration record · current first

Morgan StanleyCurrent
Seattle, WA · IA capacity

Aug 28, 2015 → present
Robert W. Baird & Co. Incorporated
BD capacity

Nov 7, 2014 → Dec 8, 2014
Robert W. Baird & Co. Incorporated
IA capacity

Nov 7, 2014 → Dec 8, 2014
Mcadams Wright Ragen, Inc.
BD capacity

Aug 22, 2012 → Nov 7, 2014
Mcadams Wright Ragen, Inc.
IA capacity

Aug 22, 2012 → Nov 7, 2014
National Securities Corporation
BD capacity

Jun 19, 2008 → Aug 17, 2012
National Asset Management, Inc.
IA capacity

Jun 19, 2008 → Aug 17, 2012
Accessor Capital Management LP
IA capacity

May 22, 2007 → Jul 3, 2008
Foreside Fund Services, LLC
BD capacity

Jan 3, 2007 → Jun 18, 2008
Alps Distributors, Inc.
BD capacity

Aug 4, 2006 → Dec 31, 2006
Intrust Brokerage Inc.
IA capacity

Aug 23, 2004 → Jun 21, 2006
Intrust Brokerage Inc.
BD capacity

Jun 9, 2000 → Jun 21, 2006
Intrust Financial Services, Inc.
IA capacity

Jun 27, 2000 → Mar 27, 2006
Invest Financial Corporation
BD capacity

Dec 15, 1998 → Jun 12, 2000
Berthel, Fisher & Company Financial Services, Inc.
BD capacity

Jul 7, 1998 → Dec 10, 1998
New England Securities
BD capacity

Mar 26, 1998 → Jul 10, 1998
United Pacific Securities, Inc.
BD capacity

Sep 3, 1997 → Jan 13, 1998
Pfs Investments Inc.
BD capacity

Apr 1, 1996 → Aug 7, 1997
Banc IV Investments, Inc.
BD capacity

Aug 25, 1995 → Feb 23, 1996

Source & corrections

Where this page comes from

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