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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

STEPHEN M ASHWORTH

Advisor at MORGAN STANLEY

Cincinnati, OH

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Search this name across graphsid dfx:ria:63082e7a-e158-b0c0-7775-51223e7f1ae8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 2, 2004 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: Sep 29, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Sep 29, 2000
First registration: Mar 2, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 3226355

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	Sep 23, 2013	n/a	yes	Cincinnati, OH	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	May 6, 2009	Sep 25, 2013	no	CINCINNATI, OH	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 9, 2007	May 13, 2009	no	CINCINNATI, OH	Previous registration
KEYBANC CAPITAL MARKETS INC.	n/a	Mar 2, 2004	Feb 9, 2007	no	CINCINNATI, OH\|CINCINNATI, OH	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
RAYMOND JAMES & ASSOCIATES, INC.	MORGAN STANLEY	Sep 25, 2013	Sep 23, 2013	-2	Firm change	Ibd to wirehouse
UBS FINANCIAL SERVICES INC.	RAYMOND JAMES & ASSOCIATES, INC.	May 13, 2009	May 6, 2009	-7	Firm change	Wirehouse to ibd
KEYBANC CAPITAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Feb 9, 2007	Feb 9, 2007	0	Bulk transfer	Other

Relationships

Registered with (4)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Sep 23, 2013 to presentfactForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
May 6, 2009 to Sep 25, 2013factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 9, 2007 to May 13, 2009factForm ADV
→ KEYBANC CAPITAL MARKETS INC.Registered adviserregistration: previous registration
Mar 2, 2004 to Feb 9, 2007factForm ADV

Dated events

No dated event names this entity yet.