Craig Everett Yates

CRD 3185896 · Morgan Stanley · Mount Laurel, NJ

IA RegisteredBroker

Also appears in the source record as: Craig E Yates

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66SIESeries 31Series 7
Registered states (19): Arizona · Arkansas · California · Colorado · Connecticut · Delaware · Florida · Maine · Maryland · Nevada · New Jersey · New Mexico · New York · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Texas
Years in the industry (source record): 27
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 3185896 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 (9)

From the source registration record · current first

Morgan StanleyCurrent
Mount Laurel, NJ · IA capacity

May 12, 2016 → present
Ubs Financial Services Inc.
BD capacity

Apr 22, 2009 → May 23, 2016
Ubs Financial Services Inc.
IA capacity

Apr 22, 2009 → May 23, 2016
Citigroup Global Markets Inc.
BD capacity

Feb 21, 2006 → May 12, 2009
Citigroup Global Markets Inc.
IA capacity

Feb 21, 2006 → May 12, 2009
Legg Mason Wood Walker Inc
IA capacity

Jul 30, 2002 → Feb 21, 2006
Legg Mason Wood Walker, Incorporated
BD capacity

Jul 19, 2002 → Feb 21, 2006
Merrill Lynch Pierce Fenner & Smith Inc.
IA capacity

Aug 22, 2001 → Jul 23, 2002
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Apr 7, 1999 → Jul 23, 2002

Source & corrections

Where this page comes from

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