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Christopher Gargano

Chief Compliance Officer at Morgan Stanley Institutional Investment Advisors

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
2
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Christopher Gargano is Chief Compliance Officer of Morgan Stanley Institutional Investment Advisors LLC, a Greenwood Village investment adviser managing $14.7B. Christopher Gargano has a current broker registration and no current investment-adviser registration and has passed the Series 7 and SIE.

Role at Morgan Stanley Institutional Investment Advisors

Title on Schedule A
Chief Compliance Officer
Control
Christopher Gargano is a control person of Morgan Stanley Institutional Investment Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Christopher Gargano has held the filed role since September 2021.

The firm

Morgan Stanley Institutional Investment Advisors LLC
Greenwood Village, CO

Form ADV filed 20 August 2026

$14.7B AUM70 clients33 advisers4 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 7 · 2004

Registrations and exams

Broker registration; no current adviser registration. Christopher Gargano has passed 2 qualifying exams.

Examinations

SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 716 November 2004
Name
General Securities Representative Examination

Individual record

Full name
Christopher Richard Gargano
CRD
4766697
Firm
Morgan Stanley Institutional Investment Advisors LLC
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 Christopher Gargano work?

Christopher Gargano has been Chief Compliance Officer of Morgan Stanley Institutional Investment Advisors LLC since September 2021, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 20 August 2026

Does Christopher Gargano have a current investment-adviser registration?

Christopher Gargano has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Christopher Gargano passed?

Christopher Gargano has passed 2 licensing exams: the Series 7 and SIE. The earliest, the Series 7, was passed in November 2004.

Source: IAPD individual record, checked 18 October 2026

Leadership at Morgan Stanley Institutional Investment Advisors

Sources

  1. IAPD individual record, CRD 4766697. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Morgan Stanley Institutional Investment Advisors LLC, filed 20 August 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

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 Christopher Gargano or Morgan Stanley Institutional Investment Advisors LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.