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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

LISA A FASSE

Advisor at MORGAN STANLEY

Dallas, TX

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Search this name across graphsid dfx:ria:508d3163-d12d-688f-cf04-7d549759e2cd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 6, 1993 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: Dec 21, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Dec 21, 1992
First registration: Jan 6, 1993
Dual registered: yes, broker-dealer
Other names: LISA A FASSE|LISA ANN FASSE|Lisa Fasse
IAPD individual key: 1697898

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	Nov 14, 2019	n/a	yes	Dallas, TX	Current employment
HILLTOP SECURITIES INC.	Bd affiliated wealth	Jul 8, 2016	Nov 14, 2019	no	DALLAS, TX	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Mar 25, 2009	Jul 28, 2016	no	DALLAS, TX	Previous registration
STANFORD GROUP COMPANY	n/a	Nov 3, 2006	Mar 25, 2009	no	DALLAS, TX	Previous registration
MORGAN STANLEY DW INC.	n/a	Jan 6, 1993	Nov 8, 2006	no	ARLINGTON, TX\|ARLINGTON, TX	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
HILLTOP SECURITIES INC.	MORGAN STANLEY	Nov 14, 2019	Nov 14, 2019	0	Firm change	Ibd to wirehouse
STIFEL, NICOLAUS & COMPANY, INCORPORATED	HILLTOP SECURITIES INC.	Jul 28, 2016	Jul 8, 2016	-20	Firm change	Other
STANFORD GROUP COMPANY	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Mar 25, 2009	Mar 25, 2009	0	Firm change	Other
MORGAN STANLEY DW INC.	STANFORD GROUP COMPANY	Nov 8, 2006	Nov 3, 2006	-5	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
793:6220:TX:2016-07-28	Jul 28, 2016	Jul 8, 2016	DALLAS, TX	Firm change

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Nov 14, 2019 to presentfactForm ADV
→ HILLTOP SECURITIES INC.Registered adviserregistration: previous registration
Jul 8, 2016 to Nov 14, 2019factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Mar 25, 2009 to Jul 28, 2016factForm ADV
→ STANFORD GROUP COMPANYRegistered adviserregistration: previous registration
Nov 3, 2006 to Mar 25, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jan 6, 1993 to Nov 8, 2006factForm ADV

Dated events

No dated event names this entity yet.