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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

THOMAS KENNETH BROWN

Advisor at MORGAN STANLEY

New Orleans, LA

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Search this name across graphsid dfx:ria:26576972-4f85-6dec-7b8d-1d8bbd943538

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: May 30, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 29, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: May 29, 2014
First registration: May 30, 2014
Dual registered: yes, broker-dealer
IAPD individual key: 5944283

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Jan 30, 2025	n/a	yes	New Orleans, LA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 9, 2024	Jan 13, 2025	no	NEW ORLEANS, LA	Previous registration
JEFFERIES INVESTMENT ADVISERS LLC	Mixed wealth	Jun 14, 2023	Feb 7, 2024	no	NEW YORK, NY\|Miami, FL	Previous registration
LEUCADIA ASSET MANAGEMENT LLC	Asset manager	Aug 17, 2018	Aug 14, 2023	no	Miami, FL\|NEW YORK, NY	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	May 30, 2014	Jun 29, 2016	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Jan 13, 2025	Jan 30, 2025	17	Firm change	Wirehouse to wirehouse
JEFFERIES INVESTMENT ADVISERS LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 7, 2024	Feb 9, 2024	2	Firm change	Ibd to wirehouse
LEUCADIA ASSET MANAGEMENT LLC	JEFFERIES INVESTMENT ADVISERS LLC	Aug 14, 2023	Jun 14, 2023	-61	Bulk transfer	RIA to new firm
RBC CAPITAL MARKETS, LLC	LEUCADIA ASSET MANAGEMENT LLC	Jun 29, 2016	Aug 17, 2018	779	Firm change after gap	Other

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Jan 30, 2025 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 9, 2024 to Jan 13, 2025factForm ADV
→ JEFFERIES INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jun 14, 2023 to Feb 7, 2024factForm ADV
→ LEUCADIA ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Aug 17, 2018 to Aug 14, 2023factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
May 30, 2014 to Jun 29, 2016factForm ADV

Dated events

Occurred
Jan 13, 2025
Advisor changed firm
Thomas Kenneth Brown left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Morgan Stanley (registered 2025-01-30)
Form ADVobserved 4 days ago
Occurred
Feb 7, 2024
Advisor changed firm
Thomas Kenneth Brown left Jefferies Investment Advisers Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-02-09)
Form ADVobserved 4 days ago