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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

DORI LYNN STEGMANN

Advisor at MORGAN STANLEY

Houston, TX | Arnold, MO | Clayton, MO

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 8, 2006 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: Nov 6, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Nov 6, 2006
First registration: Nov 8, 2006
Dual registered: yes, broker-dealer
Other names: DORI LYNN SOWARDS|DORI STEGMANN
IAPD individual key: 5056196

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	Mar 1, 2013	n/a	yes	Clayton, MO\|Houston, TX\|Arnold, MO	Current employment
MORGAN STANLEY	Wirehouse	Sep 30, 2010	Sep 26, 2011	no	Destin, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jan 5, 2010	no	ST. LOUIS, MO	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	ST. LOUIS, MO\|DESTIN, FL	Previous registration
MORGAN STANLEY DW INC.	n/a	Nov 8, 2006	Apr 2, 2007	no	PENSACOLA, FL\|DESTIN, FL	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
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (3)

→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 30, 2010 to Sep 26, 2011factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Nov 8, 2006 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.