Anne M Hatton

CRD 5437651 · Morgan Stanley · Waukesha, WI

IA RegisteredBroker

Also appears in the source record as: Anne Hatton; Anne M Sanfelippo

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 66Series 10Series 9Series 24Series 31SIESeries 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 (11)

From the source registration record · current first

Morgan StanleyCurrent
Waukesha, WI · IA capacity

Jul 18, 2019 → present
Bmo Harris Financial Advisors, Inc.
BD capacity

Aug 1, 2012 → Jun 26, 2019
Bmo Harris Financial Advisors, Inc
IA capacity

Aug 1, 2012 → Jun 26, 2019
M&i Financial Advisors, Inc.
IA capacity

Apr 18, 2012 → Aug 1, 2012
M&i Financial Advisors, Inc
BD capacity

Oct 14, 2009 → Aug 1, 2012
M&i Investment Management Corp.
IA capacity

Apr 29, 2010 → Apr 19, 2012
M&i Financial Advisors, Inc.
IA capacity

Oct 14, 2009 → Mar 31, 2010
J.P. Morgan Securities Inc.
BD capacity

Oct 1, 2008 → Oct 16, 2009
J.P.Morgan Securities Inc.
IA capacity

Oct 1, 2008 → Oct 16, 2009
J. P. Morgan Securities Inc.
IA capacity

Dec 17, 2007 → Oct 1, 2008
J.P. Morgan Securities Inc.
BD capacity

Dec 4, 2007 → Oct 1, 2008

Source & corrections

Where this page comes from

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

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.