William H Waggoner

CRD 2808328 · Morgan Stanley · Los Gatos, CA

IA RegisteredBroker

Also appears in the source record as: William Harlow Waggoner II; William H Waggoner II II; William Harlow Waggoner II II

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 10Series 9SIESeries 31Series 7
Registered states (33): Arizona · Arkansas · California · Colorado · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Mississippi · Missouri · Nebraska · Nevada · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Texas · Utah · Virgin Islands · Virginia · Washington · Wisconsin
Years in the industry (source record): 30
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2808328 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

FINRA BrokerCheck ↗ · 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 (8)

From the source registration record · current first

Morgan StanleyCurrent
Los Gatos, CA · IA capacity

Jun 1, 2009 → present
Citigroup Global Markets Inc.
BD capacity

Aug 1, 2005 → Jun 1, 2009
Citigroup Global Markets Inc.
IA capacity

Aug 1, 2005 → Jun 1, 2009
Morgan Stanley
IA capacity

Jan 23, 2001 → Aug 1, 2005
Morgan Stanley Dw Inc.
BD capacity

Oct 4, 2000 → Aug 1, 2005
Painewebber Incorporated
BD capacity

Jan 9, 1997 → Nov 27, 2000
Ids Life Insurance Company
BD capacity

Nov 21, 1996 → Jan 27, 1997
American Express Financial Advisors Inc.
BD capacity

Nov 21, 1996 → Jan 27, 1997

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 2808328 ↗ FINRA BrokerCheck record for CRD 2808328 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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.