Joan Marie Winter

CRD 2466503 · Morgan Stanley · Barrington, IL

IA RegisteredBroker

Also appears in the source record as: Joan Marie Moran; Joan Marie Schleyer

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66Series 63SIESeries 7
Registered states (50): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · 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 · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 32
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 (9)

From the source registration record · current first

Morgan StanleyCurrent
Barrington, IL · IA capacity

Oct 22, 2021 → present
Citigroup Global Markets Inc.
BD capacity

Jan 17, 2002 → Jun 1, 2009
Ids Life Insurance Company
BD capacity

Nov 16, 2000 → Feb 4, 2002
American Express Financial Advisors Inc.
BD capacity

Nov 16, 2000 → Feb 4, 2002
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

May 31, 1996 → Jun 16, 2000
Linsco/Private Ledger Corp.
BD capacity

Nov 27, 1995 → May 16, 1996
Edward D. Jones & Co., L.P.
BD capacity

Aug 23, 1995 → Nov 30, 1995
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jan 30, 1995 → May 25, 1995
Wayne Hummer & Co.
BD capacity

Apr 21, 1994 → Dec 23, 1994

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2466503 ↗ FINRA BrokerCheck record for CRD 2466503 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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