J Timothy Thompson

CRD 838318 · Morgan Stanley · Washington, DC

IA RegisteredBroker

Also appears in the source record as: John Timothy Thompson

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (12): Series 65Series 63Series 10Series 9Series 53Series 24Series 4Series 12Series 52TOSIEPCSeries 7
Registered states (46): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Illinois · Indiana · Iowa · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Nebraska · Nevada · New Hampshire · New Jersey · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · 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 838318 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 (9)

From the source registration record · current first

Morgan StanleyCurrent
Washington, DC · IA capacity

Jun 1, 2009 → present
Citigroup Global Markets Inc.
IA capacity

Oct 23, 2008 → Jun 1, 2009
Citigroup Global Markets Inc.
BD capacity

Oct 3, 2008 → Jun 1, 2009
Ubs Financial Services Inc.
IA capacity

Feb 13, 1994 → Oct 14, 2008
Ubs Financial Services Inc.
BD capacity

May 12, 1993 → Oct 14, 2008
Lehman Brothers Inc.
BD capacity

May 14, 1988 → May 21, 1993
E. F. Hutton & Company Inc
BD capacity

Apr 3, 1980 → May 14, 1988
Smith Barney, Harris Upham & Co., Incorporated
BD capacity

May 7, 1979 → May 4, 1980
Blyth Eastman Dillon & Co. Incorporated
BD capacity

Jun 1, 1977 → Jun 18, 1979

Source & corrections

Where this page comes from

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