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

STEVEN JOHN ZIMMERMAN

Advisor at MORGAN STANLEY

Lake Forest, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 14, 1998 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 4, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 4, 1998
First registration: Dec 14, 1998
Dual registered: yes, broker-dealer
Other names: ZIMMERMAN STEVEN JOHN|STEVEN J ZIMMERMAN|STEVE ZIMMERMAN
IAPD individual key: 3083736

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	Jun 1, 2009	n/a	yes	Lake Forest, IL	Current employment
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	LAKE FOREST, IL	Previous registration
MORGAN STANLEY DW INC.	n/a	Mar 23, 2007	Apr 2, 2007	no	LAKE FOREST, IL\|PURCHASE, NY	Previous registration
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Dec 14, 2005	Mar 28, 2007	no	LAKE FOREST, IL\|ROSELLE, IL	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Apr 14, 2003	Dec 31, 2005	no	LAKE FOREST, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 14, 1998	Apr 14, 2003	no	NORTHBROOK, IL	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
BMO HARRIS FINANCIAL ADVISORS, INC	MORGAN STANLEY DW INC.	Mar 28, 2007	Mar 23, 2007	-5	Firm change	Other
E*TRADE CAPITAL MANAGEMENT, LLC	BMO HARRIS FINANCIAL ADVISORS, INC	Dec 31, 2005	Dec 14, 2005	-17	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	E*TRADE CAPITAL MANAGEMENT, LLC	Apr 14, 2003	Apr 14, 2003	0	Firm change	Other

Relationships

Registered with (6)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Jun 1, 2009 to presentfactForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Mar 23, 2007 to Apr 2, 2007factForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Dec 14, 2005 to Mar 28, 2007factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 14, 2003 to Dec 31, 2005factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 14, 1998 to Apr 14, 2003factForm ADV

Dated events

No dated event names this entity yet.