Peter E Prunty

CRD 2638329 · Morgan Stanley · Red Bank, NJ

IA RegisteredBroker

Also appears in the source record as: Peter Edward Prunty; Peter Prunty

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 63Series 24Series 79TOSIESeries 7
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): 30
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 (11)

From the source registration record · current first

Morgan StanleyCurrent
Red Bank, NJ · IA capacity

May 22, 2017 → present
Index Capital Consultants, LLC
IA capacity

Aug 11, 2016 → Feb 20, 2017
Ubs Financial Services Inc.
IA capacity

Nov 20, 2012 → Jun 22, 2016
Ubs Financial Services Inc.
BD capacity

Oct 2, 2012 → Jun 22, 2016
Morgan Stanley Distribution, Inc.
BD capacity

Mar 21, 2011 → Sep 24, 2012
Morgan Stanley Smith Barney
BD capacity

Jun 1, 2009 → Mar 24, 2011
Morgan Stanley & Co. Incorporated
BD capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley Dw Inc.
BD capacity

May 10, 2005 → Apr 2, 2007
Cantor Fitzgerald Partners
BD capacity

Feb 3, 1997 → Jan 26, 1998
Cantor Fitzgerald Securities
BD capacity

Jun 27, 1996 → Jan 26, 1998
Cantor Fitzgerald & Co.
BD capacity

Dec 2, 1996 → Feb 3, 1997

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2638329 ↗ FINRA BrokerCheck record for CRD 2638329 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.