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Thomas D Petty

Morgan Stanley

Annapolis, MD

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-08-13
MD RA APPROVED 2020-05-05
  • TX RA
    APPROVED
    Since 2020-08-13
  • MD RA
    APPROVED
    Since 2020-05-05

Branch Locations

410 Severn Avenue Suite 211, Annapolis, MD 21403 • 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
Four Seasons Hotels And Resorts Teton Village WY 03/2015 11/2018
Northwestern Mutual Life Insurance Company Milwaukee WI 09/2018 04/2019
Northwestern Mutual Investment Services Llc Annapolis MD 10/2018 04/2019
Word Up Moving And Hauling Annapolis MD 08/2008 11/2016
Unemployed Annapolis MD 05/2018 09/2018
Axa Advisors Llc New York NY 04/2019 09/2019
Morgan Stanley Annapolis MD 04/2020 Present
Unemployed Annapolis MD 09/2019 03/2020
Morgan Stanley Private Bank, N.A New York NY 04/2020 Present
  • 03/2015 → 11/2018
    Four Seasons Hotels And Resorts
    Teton Village, WY
  • 09/2018 → 04/2019
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 10/2018 → 04/2019
    Northwestern Mutual Investment Services Llc
    Annapolis, MD
  • 08/2008 → 11/2016
    Word Up Moving And Hauling
    Annapolis, MD
  • 05/2018 → 09/2018
    Unemployed
    Annapolis, MD
  • 04/2019 → 09/2019
    Axa Advisors Llc
    New York, NY
  • 04/2020 → Present
    Morgan Stanley
    Annapolis, MD
  • 09/2019 → 03/2020
    Unemployed
    Annapolis, MD
  • 04/2020 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-10-14
S63 Uniform Securities Agent State Law Examination 2019-04-04
  • S65 Uniform Investment Adviser Law Examination
    2019-10-14
  • S63 Uniform Securities Agent State Law Examination
    2019-04-04
Other Names
  • Thomas Deshields Petty
  • Tom Petty
  • Thomas De Shields Petty
  • Thomas Petty

View on SEC IAPD

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · ANNAPOLIS, MD
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ANNAPOLIS, MD
CETERA INVESTMENT ADVISERS LLC · Annapolis, MD
RCS FINANCIAL PLANNING, LLC · ANNAPOLIS, MD
AMERIPRISE FINANCIAL SERVICES, LLC · Annapolis, MD
MARINER INDEPENDENT · Annapolis, MD
EQUITABLE ADVISORS, LLC · ANNAPOLIS, MD
WELLS FARGO CLEARING SERVICES, LLC · ANNAPOLIS, MD

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