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Ann Clara Whalen

Morgan Stanley

New York, NY

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-03-09
TX RA APPROVED_RES 2020-08-28
  • NY RA
    APPROVED
    Since 2022-03-09
  • TX RA
    APPROVED_RES
    Since 2020-08-28

Branch Locations

1585 Broadway, New York, NY 10036 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley & Co. Llc New York NY 06/2020 Present
Santander New York NY 08/2019 06/2020
Santander Boston NY 01/2017 08/2019
Headwaters Merchant Bank Wellesley MA 04/2016 10/2016
Capital Hedge Rockland MA 10/2016 12/2016
Bentley University Waltham MA 09/2013 12/2016
Morgan Stanley New York NY 08/2020 Present
  • 06/2020 → Present
    Morgan Stanley & Co. Llc
    New York, NY
  • 08/2019 → 06/2020
    Santander
    New York, NY
  • 01/2017 → 08/2019
    Santander
    Boston, NY
  • 04/2016 → 10/2016
    Headwaters Merchant Bank
    Wellesley, MA
  • 10/2016 → 12/2016
    Capital Hedge
    Rockland, MA
  • 09/2013 → 12/2016
    Bentley University
    Waltham, MA
  • 08/2020 → Present
    Morgan Stanley
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-03-08
S63 Uniform Securities Agent State Law Examination 2020-08-20
  • S65 Uniform Investment Adviser Law Examination
    2022-03-08
  • S63 Uniform Securities Agent State Law Examination
    2020-08-20
Other Names
  • Annie Whalen

View on SEC IAPD

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Other Offices

ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
LEEDS EQUITY PARTNERS · NEW YORK, NY

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