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James Adolph

Morgan Stanley & Co. LLC

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About James Adolph

James Adolph is a financial professional with over ten years of experience in the industry. James is currently registered with Morgan Stanley & Co. LLC as a broker and is also registered in California and New York. Prior to his current role, James has also worked with COWEN AND COMPANY, PIPER SANDLER & CO., and NEEDHAM & COMPANY, LLC. James holds Series 7, 79 and 63 licenses as well as the SIE exam.

Firm Information

James Adolph is currently registered with Morgan Stanley & Co. LLC. Morgan Stanley & Co. LLC is a Limited Liability Company formed on December 3, 1969. It is registered in 53 states and has one approved SEC registration. The firm has been involved in 471 Regulatory Events, 5 Civil Events, and 54 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

462

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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James Adolph’s Registration & Firm History

CA

06/27/2024 - Present

Morgan Stanley & Co. LLC (San Francisco CA)

CA

05/04/2021 - 11/20/2023

COWEN AND COMPANY (San Francisco CA)

CA

01/16/2018 - 04/05/2021

PIPER SANDLER & CO. (SAN FRANCISCO CA)

CA

09/17/2013 - 01/18/2018

NEEDHAM & COMPANY, LLC (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 01/22/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/13/2013

Series 7 - General Securities Representative Examination

BC

Issued 09/17/2013

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for James Adolph.
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