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Swarup Thapa

Morgan Stanley & Co. LLC

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About Swarup Thapa

Swarup Thapa is a Registered Representative currently working for Morgan Stanley & Co. LLC. Swarup is licensed to offer securities products and services through Morgan Stanley & Co. LLC. Swarup Thapa has passed the Securities Industry Essentials Examination (SIE) and the Operations Professional Examination (Series 99TO).

Firm Information

Swarup Thapa 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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Swarup Thapa’s Registration & Firm History

MD

08/18/2023 - Present

Morgan Stanley & Co. LLC (Baltimore MD)

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Licenses & Designations

BC

Issued 08/18/2023

Series 99TO - Operations Professional Examination

BC

Issued 08/18/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Swarup Thapa.
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