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Stephen Apy

Morgan Stanley

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About Stephen Apy

Stephen Apy is a financial advisor with Morgan Stanley. Stephen has been in the industry since May 16, 2011. Stephen has Series 6, 7TO, 99, and SIE licenses. Stephen's current employment is with Morgan Stanley in the Purchase, NY branch. Previously, Stephen worked at UBS Securities LLC and Northwestern Mutual Investment Services, LLC. Stephen also has experience with MORGAN STANLEY & CO. LLC.

Firm Information

Stephen Apy is currently registered with Morgan Stanley. Morgan Stanley is a Limited Liability Company based in PURCHASE, NY, formed in 2009. They offer a wide range of advisory services, including financial planning, pension consulting, educational seminars, and selection of other advisors. Their client base includes individuals, high-net-worth individuals, investment clubs, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Morgan Stanley manages approximately $10 billion to $50 billion in assets. Their website addresses are HTTP://WWW.MORGANSTANLEYCLIENTSERV.COM and HTTP://WWW.MORGANSTANLEY.COM.
Morgan Stanley

2000 WESTCHESTER AVENUE

PURCHASE, NY 10577-2530

$1.40T

Assets Under Management

335,385

Total Clients

23,624

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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asset allocation advice

Asset allocation advice

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d miscellaneous

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Stephen Apy’s Registration & Firm History

NY

11/19/2018 - Present

Morgan Stanley (PURCHASE NY)

NY

08/31/2015 - 11/26/2018

MORGAN STANLEY & CO. LLC (Purchase NY)

CT

04/13/2012 - 09/01/2015

UBS SECURITIES LLC (STAMFORD CT)

NY

04/06/2005 - 03/04/2006

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (PURCHASE NY)

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Licenses & Designations

BC

Issued 07/08/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/05/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/12/2012

Series 99 - Operations Professional Examination

BC

Issued 01/21/2005

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 2 public disclosures for Stephen Apy. Review regulatory record here.
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