James Wesley Likes

CRD 4026466 · Morgan Stanley · Medford, OR

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 10Series 9SIESeries 31Series 7
Registered states (31): Alaska · Arizona · Arkansas · California · Colorado · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Maine · Massachusetts · Michigan · Montana · Nebraska · Nevada · New Jersey · New Mexico · New York · Oklahoma · Oregon · Pennsylvania · South Dakota · Texas · Utah · Virginia · Washington · Wisconsin
Years in the industry (source record): 27
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 (16)

From the source registration record · current first

Morgan StanleyCurrent
Medford, OR · IA capacity

Jan 18, 2023 → present
Equitable Advisors, LLC
IA capacity

Mar 18, 2022 → Jan 12, 2023
Equitable Advisors, LLC
BD capacity

Mar 16, 2022 → Jan 12, 2023
Wedbush Securities Inc.
BD capacity

Oct 26, 2020 → Jul 16, 2021
Wedbush Securities Inc.
IA capacity

Oct 26, 2020 → Jul 16, 2021
Wells Fargo Clearing Services, LLC
IA capacity

Nov 30, 2015 → Oct 27, 2020
Wells Fargo Clearing Services, LLC
BD capacity

Nov 27, 2015 → Oct 27, 2020
Ubs Financial Services Inc.
IA capacity

Nov 24, 2008 → Dec 8, 2015
Ubs Financial Services Inc.
BD capacity

Nov 21, 2008 → Dec 8, 2015
Morgan Stanley & Co. Incorporated
BD capacity

Sep 20, 2007 → Nov 25, 2008
Morgan Stanley & Co. Incorporated
IA capacity

Sep 20, 2007 → Nov 25, 2008
Morgan Stanley & Co., Incorporated
BD capacity

Apr 2, 2007 → Jun 20, 2007
Morgan Stanley & Co., Incorporated
IA capacity

Apr 2, 2007 → Jun 20, 2007
Morgan Stanley
IA capacity

Jul 9, 2003 → Apr 2, 2007
Morgan Stanley Dw Inc.
BD capacity

Jul 3, 2003 → Apr 2, 2007
Morgan Stanley Dw Inc.
BD capacity

Nov 17, 1999 → Jun 2, 2003

Source & corrections

Where this page comes from

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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.