Michael Sroga

CRD 5200208 · Morgan Stanley · New York, NY

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 63Series 24Series 99TOSeries 57TOSIESeries 86Series 87Series 55Series 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

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

Oct 5, 2020 → present
Jefferies LLC
BD capacity

Jul 29, 2020 → Aug 25, 2020
Jefferies LLC
BD capacity

Jul 18, 2017 → Mar 16, 2020
Needham & Company, LLC
BD capacity

Oct 16, 2015 → Jul 17, 2017
Jefferies LLC
BD capacity

Jun 27, 2014 → Oct 13, 2015
Piper Jaffray & Co.
BD capacity

May 2, 2007 → Jul 18, 2012

Source & corrections

Where this page comes from

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