Jon Arthur Garofalo

CRD 2853141 · Morgan Stanley · Westport, CT

IA RegisteredBroker

Also appears in the source record as: Jon A Garofalo

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63Series 24SIESeries 7
Registered states (38): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Iowa · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 28
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2853141 contains one or more disclosure events as of Aug 20, 2026.

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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 (13)

From the source registration record · current first

Morgan StanleyCurrent
Westport, CT · IA capacity

Aug 29, 2014 → present
J.P. Morgan Securities LLC
BD capacity

Oct 1, 2012 → Sep 10, 2014
J.P. Morgan Securities LLC
IA capacity

Oct 1, 2012 → Sep 10, 2014
Chase Investment Services Corp.
BD capacity

Oct 4, 2006 → Oct 1, 2012
Chase Investment Services Corp.
IA capacity

Oct 4, 2006 → Oct 1, 2012
Bny Investment Center Inc.
IA capacity

Dec 1, 2005 → Oct 4, 2006
Bny Investment Center Inc.
BD capacity

Apr 4, 2005 → Oct 4, 2006
Banc Of America Investment Services, Inc.
BD capacity

Oct 20, 2004 → Mar 22, 2005
Banc Of America Investment Services, Inc.
IA capacity

Oct 20, 2004 → Mar 22, 2005
Quick & Reilly, Inc.
IA capacity

Dec 4, 2002 → Oct 20, 2004
Quick & Reilly, Inc.
BD capacity

Sep 25, 2000 → Oct 20, 2004
Fis Securities, Inc.
BD capacity

Feb 12, 1999 → Sep 25, 2000
C. J. M. Planning Corp.
BD capacity

Sep 18, 1998 → Feb 16, 1999

Source & corrections

Where this page comes from

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