Anna Sime

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (6)

Series 66Series 63Series 10Series 9SIESeries 7

Registered states (53)

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Years in the industry (source record)

19

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (24)

From the source registration record · current first

• Morgan StanleyCurrent

  Winter Park, FL · IA capacity
  Aug 5, 2025 → present
• Schwab Wealth Advisory, Inc.

  IA capacity
  Jan 10, 2022 → Jul 21, 2023
• Charles Schwab & Co., Inc.

  BD capacity
  Jan 9, 2022 → Jul 21, 2023
• Wells Fargo Clearing Services, LLC

  IA capacity
  Sep 4, 2019 → Dec 8, 2021
• Wells Fargo Clearing Services, LLC

  BD capacity
  Sep 3, 2019 → Dec 8, 2021
• Citigroup Global Markets Inc.

  BD capacity
  Nov 20, 2017 → Jun 25, 2019
• Citigroup Global Markets Inc.

  IA capacity
  Nov 20, 2017 → Jun 25, 2019
• Hsbc Securities (USA) Inc.

  IA capacity
  Feb 7, 2017 → Dec 6, 2017
• Hsbc Securities (USA) Inc.

  BD capacity
  Feb 3, 2017 → Dec 6, 2017
• Axa Advisors, LLC

  IA capacity
  Oct 21, 2016 → Nov 22, 2016
• Axa Advisors, LLC

  BD capacity
  Sep 29, 2016 → Nov 22, 2016
• Wells Fargo Advisors, LLC

  IA capacity
  Jun 7, 2013 → Aug 31, 2016
• Wells Fargo Advisors, LLC

  BD capacity
  Jun 3, 2013 → Aug 31, 2016
• J.P. Morgan Securities LLC

  BD capacity
  Oct 1, 2012 → Mar 27, 2013
• J.P. Morgan Securities LLC

  IA capacity
  Oct 1, 2012 → Mar 27, 2013
• Chase Investment Services Corp.

  BD capacity
  May 17, 2012 → Oct 1, 2012
• Chase Investment Services Corp.

  IA capacity
  May 17, 2012 → Oct 1, 2012
• Td Ameritrade, Inc.

  BD capacity
  Nov 9, 2011 → May 3, 2012
• Td Ameritrade, Inc.

  IA capacity
  Nov 9, 2011 → May 3, 2012
• Amerivest Investment Management, LLC

  IA capacity
  Nov 9, 2011 → May 3, 2012
• Chase Investment Services Corp.

  BD capacity
  Sep 16, 2008 → Nov 8, 2011
• Chase Investment Services Corp.

  IA capacity
  Sep 16, 2008 → Nov 8, 2011
• Strategic Advisers, Inc.

  IA capacity
  Dec 6, 2007 → Apr 28, 2008
• Fidelity Brokerage Services LLC

  BD capacity
  Sep 24, 2007 → Apr 28, 2008

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.

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