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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

MARIA C PALUMBO

Advisor at MORGAN STANLEY

New York, NY | Kew Gardens, NY

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Search this name across graphsid dfx:ria:a42a0cd1-96e3-30c8-6f11-9b392f3a7189

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 5, 2009 to Sep 15, 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: Aug 4, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66|S65
First exam: Aug 4, 1998
First registration: Oct 5, 2009
Dual registered: yes, broker-dealer
IAPD individual key: 2748898

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	Dec 15, 2022	n/a	yes	New York, NY\|Kew Gardens, NY	Current employment
OPPENHEIMER & CO. INC.	Bd affiliated wealth	May 19, 2016	Dec 2, 2022	no	STAMFORD, CT	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Dec 4, 2015	May 9, 2016	no	ST. LOUIS, MO\|NEW YORK, NY	Previous registration
BARCLAYS CAPITAL INC.	Former SEC adviser	Aug 30, 2013	Dec 4, 2015	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Oct 5, 2009	Jul 15, 2013	no	STAMFORD, CT\|WHITE PLAINS, 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
OPPENHEIMER & CO. INC.	MORGAN STANLEY	Dec 2, 2022	Dec 15, 2022	13	Firm change	Ibd to wirehouse
STIFEL, NICOLAUS & COMPANY, INCORPORATED	OPPENHEIMER & CO. INC.	May 9, 2016	May 19, 2016	10	Firm change	Other
BARCLAYS CAPITAL INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Dec 4, 2015	Dec 4, 2015	0	Bulk transfer	Other
OPPENHEIMER & CO. INC.	BARCLAYS CAPITAL INC.	Jul 15, 2013	Aug 30, 2013	46	Firm change	Other

Relationships

Registered with (4)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Dec 15, 2022 to presentfactForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
May 19, 2016 to Dec 2, 2022factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Dec 4, 2015 to May 9, 2016factForm ADV
→ BARCLAYS CAPITAL INC.Registered adviserregistration: previous registration
Aug 30, 2013 to Dec 4, 2015factForm ADV

Dated events

Occurred
Dec 2, 2022
Advisor changed firm
Maria C Palumbo left Oppenheimer & Co. Inc. for Morgan Stanley (registered 2022-12-15)
Form ADVobserved 5 days ago