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James Francis Bennett

Morgan Stanley & Co. LLC

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About James Francis Bennett

James Francis Bennett is a financial professional with over 25 years of experience in the financial services industry. James has held positions at several prominent financial institutions, including Morgan Stanley, E*TRADE Securities, and Prudential Securities. James currently holds registrations with Morgan Stanley & Co. LLC and Wealthpenn.comllc. James's professional designations include Series 6, Series 63, and SIE. James has a strong track record of providing financial advice and guidance to clients.

Firm Information

James Bennett 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 Bennett’s Registration & Firm History

NY

09/06/2017 - Present

Morgan Stanley & Co. LLC (New York NY)

NY

08/05/2022 - 02/13/2024

E*TRADE SECURITIES LLC (New York NY)

NY

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)

NY

06/03/2005 - 04/02/2007

MORGAN STANLEY DW INC. (PURCHASE NY)

MO

07/01/2003 - 05/13/2005

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

05/25/2000 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NJ

12/22/1997 - 12/15/2000

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

BC

Issued 11/21/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/19/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Francis Bennett.
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