James E Horgan

CRD 708302 · Morgan Stanley · The Woodlands, TX

IA RegisteredBroker

Also appears in the source record as: James Edward Horgan; Jim Horgan; James E Horgan Cfp Tm

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 7Series 1
Registered states (19): Alabama · Arizona · California · Florida · Illinois · Indiana · Louisiana · Mississippi · New Hampshire · New Mexico · New York · North Carolina · Oklahoma · Pennsylvania · South Carolina · Texas · Virginia · Washington · Wisconsin
Years in the industry (source record): 46
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 (13)

From the source registration record · current first

Morgan StanleyCurrent
The Woodlands, TX · IA capacity

Jun 1, 2009 → present
Morgan Stanley & Co. Incorporated
BD capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
IA capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley Dw Inc.
BD capacity

May 25, 2000 → Apr 2, 2007
Morgan Stanley
IA capacity

May 25, 2000 → Apr 2, 2007
Mercer Global Securities LLC
BD capacity

Jul 7, 1999 → Apr 20, 2000
Mercer Global Securities LLC
BD capacity

Jul 3, 1997 → Feb 19, 1998
Financial Network Investment Corporation
BD capacity

Apr 10, 1989 → Jul 20, 1995
American Pacific Securities Corporation
BD capacity

Jul 20, 1987 → Apr 10, 1989
Raymond James & Associates, Inc.
BD capacity

May 29, 1987 → Jul 27, 1987
Vancaspel & Co., Incorporated
BD capacity

Mar 13, 1987 → Jun 5, 1987
Anchor National Financial Services, Inc.
BD capacity

Jan 22, 1982 → Mar 12, 1987
Universal Heritage Investments Corporation
BD capacity

May 8, 1980 → Jan 6, 1982

Source & corrections

Where this page comes from

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