John A Mcauliffe

CRD 838013 · Morgan Stanley · Oxnard, CA

IA RegisteredBroker

Also appears in the source record as: John Alfred Mcauliffe

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (10): Series 65Series 63Series 9Series 10Series 8Series 79TOSIESeries 3PCSeries 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): 49
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 838013 contains one or more disclosure events as of Aug 20, 2026.

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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
Oxnard, CA · IA capacity

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

May 8, 2008 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
IA capacity

May 8, 2008 → Jun 1, 2009
Citigroup Global Markets Inc.
BD capacity

May 29, 2007 → Apr 29, 2008
Citigroup Global Markets Inc.
IA capacity

May 29, 2007 → Apr 29, 2008
Citicorp Investment Services
IA capacity

Apr 5, 2007 → May 29, 2007
Citicorp Investment Services
BD capacity

Mar 27, 2007 → May 29, 2007
Citigroup Global Markets Inc.
BD capacity

Mar 9, 2005 → Apr 25, 2007
Citigroup Geneva Capital Strategies Inc.
BD capacity

Apr 14, 2003 → Mar 9, 2005
Citigroup Global Markets Inc.
BD capacity

Jul 31, 1993 → Apr 25, 2003
Lehman Brothers Inc.
BD capacity

Dec 29, 1980 → Jul 31, 1993
Moseley, Hallgarten, Estabrook & Weeden, Inc.
BD capacity

Feb 23, 1979 → Dec 12, 1980
Moseley, Hallgarten & Estabrook Inc
BD capacity

Jun 1, 1977 → Feb 23, 1979

Source & corrections

Where this page comes from

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