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Sanford Lerner

Morgan Stanley & Co. LLC

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About Sanford Lerner

Sanford Lerner is a securities professional with over 20 years of experience in the financial services industry. Sanford is currently registered with Morgan Stanley & Co. LLC and Wealthpenn.comllc. Sanford has held previous roles at E*TRADE SECURITIES LLC, Oppenheimer & Co. Inc., and Bear, Stearns & Co. Inc.

Firm Information

Sanford Lerner 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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Sanford Lerner’s Registration & Firm History

NY

05/20/2011 - Present

Morgan Stanley & Co. LLC (NEW YORK NY)

NJ

12/10/2020 - 09/05/2023

E*TRADE SECURITIES LLC (JERSEY CITY NJ)

NY

04/06/2009 - 08/18/2009

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

03/15/2001 - 06/16/2008

BEAR, STEARNS & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/25/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/19/2002

Series 7 - General Securities Representative Examination

BC

Issued 02/20/2001

Series 16 - NYSE Supervisory Analyst 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 Sanford Lerner.
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