Lisa R Griffin

CRD 5403377 · Morgan Stanley · Buffalo, NY

IA RegisteredBroker

Also appears in the source record as: Lisa Rose Griffin; Lisa Rose Pavone; Lisa Pavone

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 7Series 6
Registered states (39): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Missouri · Montana · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · 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 (8)

From the source registration record · current first

Morgan StanleyCurrent
Buffalo, NY · IA capacity

Sep 16, 2025 → present
Mml Investors Services, LLC
BD capacity

Mar 25, 2017 → Mar 22, 2021
Msi Financial Services, Inc.
BD capacity

Nov 20, 2014 → Mar 25, 2017
New England Securities
BD capacity

Apr 21, 2014 → Aug 29, 2014
J.P. Morgan Securities LLC
IA capacity

Mar 29, 2012 → Apr 18, 2014
J.P. Morgan Securities LLC
BD capacity

Mar 14, 2011 → Apr 18, 2014
Royal Alliance Associates, Inc.
BD capacity

Feb 8, 2011 → Mar 17, 2011
First Investors Corporation
BD capacity

Aug 24, 2007 → Feb 20, 2009

Source & corrections

Where this page comes from

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