James Patrick Finley

CRD 4311866 · Morgan Stanley · New York, NY

IA RegisteredBroker

Also appears in the source record as: Jim Finley

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 66SIESeries 7
Registered states (35): Alabama · Alaska · Arizona · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Illinois · Indiana · Kansas · Louisiana · Maine · Maryland · Massachusetts · Michigan · Missouri · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · Wisconsin
Years in the industry (source record): 24
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 (6)

From the source registration record · current first

Morgan StanleyCurrent
New York, NY · IA capacity

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

Jan 22, 2007 → Jun 1, 2009
Citigroup Global Markets Inc.
BD capacity

Jan 19, 2007 → Jun 1, 2009
Wachovia Securities, LLC
IA capacity

Jul 28, 2004 → Jan 24, 2007
Wachovia Securities, LLC
BD capacity

Jul 1, 2003 → Jan 24, 2007
Prudential Securities Incorporated
BD capacity

May 15, 2002 → Jul 1, 2003

Source & corrections

Where this page comes from

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