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Francis John Lauria

Morgan Stanley

Huntington Station, NY

New York, NY

CRD 6306528

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Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-01-22
NY RA APPROVED 2023-12-12
  • TX RA
    APPROVED_RES
    Since 2024-01-22
  • NY RA
    APPROVED
    Since 2023-12-12

Branch Locations

Huntington Station, NY • United States

55 East 52Nd Street 10Th Floor, New York, NY 10055 • 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
Fidelity Brokerage Services Llc Roslyn NY 07/2015 03/2022
Ubs Financial Services In New York NY 04/2022 11/2023
Morgan Stanley New York NY 12/2023 Present
  • 07/2015 → 03/2022
    Fidelity Brokerage Services Llc
    Roslyn, NY
  • 04/2022 → 11/2023
    Ubs Financial Services In
    New York, NY
  • 12/2023 → Present
    Morgan Stanley
    New York, NY
Previous Registrations
  • 2021-07-08 → 2022-03-21
    Fidelity Personal And Workplace Advisors
    Garden City, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2014-05-01
  • S63 Uniform Securities Agent State Law Examination
    2014-05-01

View on SEC IAPD

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