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Benjamin Hammes

Head of Derivatives Advisory Compliance & Executive Director at Morgan Stanley Investment Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Benjamin Hammes is Head of Derivatives Advisory Compliance & Executive Director of Morgan Stanley Investment Management Inc., a New York investment adviser managing $702B. Benjamin Hammes has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Morgan Stanley Investment Management

Title on Schedule A
Head of Derivatives Advisory Compliance & Executive Director
Control
Benjamin Hammes is not a control person of Morgan Stanley Investment Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Benjamin Hammes has held the filed role since March 2025.

The firm

Morgan Stanley Investment Management Inc.
New York, NY

Form ADV filed 25 August 2026

$702B AUM22,803 clients250 advisers16 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 7, Series 63, Series 4 and Series 24 · 1999

Registrations and exams

Broker registration; no current adviser registration. Benjamin Hammes has passed 5 qualifying exams.

Examinations

Series 6314 April 1999
Name
Uniform Securities Agent State Law Examination
Series 2421 December 1999
Name
General Securities Principal Examination
Series 411 November 1999
Name
Registered Options Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 78 March 1999
Name
General Securities Representative Examination

Individual record

Full name
Benjamin Patrick Hammes
CRD
2973966
Firm
Morgan Stanley Investment Management Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Benjamin Hammes work?

Benjamin Hammes has been Head of Derivatives Advisory Compliance & Executive Director of Morgan Stanley Investment Management Inc. since March 2025.

Source: Form ADV, Schedule A, filed 25 August 2026

Does Benjamin Hammes have a current investment-adviser registration?

Benjamin Hammes has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Benjamin Hammes passed?

Benjamin Hammes has passed 5 licensing exams: the Series 7, Series 63, Series 4, Series 24 and SIE. The earliest, the Series 7, was passed in March 1999.

Source: IAPD individual record, checked 17 October 2026

Leadership at Morgan Stanley Investment Management

  • Benjamin Huneke
    President & Managing Director
  • Sallymarie Diffley
    Chief Financial Officer & Managing Director
  • Deidre Downes
    Chief Compliance Officer & Managing Director
  • Lisa Buhain Winslow
    Director & Managing Director
  • Eric Kayne
    Director & Managing Director
  • Mary Mullin
    General Counsel & Managing Director
  • Scott Steel
    Director & Managing Director

Sources

  1. IAPD individual record, CRD 2973966. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Morgan Stanley Investment Management Inc., filed 25 August 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

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This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Benjamin Hammes or Morgan Stanley Investment Management Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.