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Morgan Stanley (MS.N)

MS.N on New York Stock Exchange

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22 Jun 2018
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Summary

Name Age Since Current Position

James Gorman

59 2012 Chairman of the Board, Chief Executive Officer

Colm Kelleher

60 2016 President

Jonathan Pruzan

49 2015 Chief Financial Officer, Executive Vice President

Jeffrey Brodsky

53 2016 Chief Human Resource Officer, Executive Vice President

Keishi Hotsuki

55 2014 Executive Vice President, Chief Risk Officer

Eric Grossman

51 2012 Executive Vice President, Chief Legal Officer

Daniel Simkowitz

52 2015 Head of Investment Management

Thomas Glocer

58 2017 Lead Independent Director

Nobuyuki Hirano

67 2015 Director

Ryosuke Tamakoshi

70 2011 Director

Elizabeth Corley

62 2018 Independent Director

Alistair Darling

64 2016 Independent Director

Robert Herz

64 2012 Independent Director

Judith Miscik

58 2014 Independent Director

Dennis Nally

65 2016 Independent Director

Hutham Olayan

64 2006 Independent Director

Perry Traquina

61 2015 Independent Director

Rayford Wilkins

66 2013 Independent Director

Biographies

Name Description

James Gorman

Mr. James P. Gorman is the Chairman of the Board, Chief Executive Officer of Morgan Stanley. Mr. Gorman is Chairman of the Board and CEO of Morgan Stanley since January 2012. President and CEO from January 2010 through December 2011. He was Co-President from December 2007 to December 2009, Co-Head of Strategic Planning from October 2007 to December 2009 and President and Chief Operating Officer of Wealth Management from February 2006 to April 2008. Joined Merrill Lynch & Co., Inc. (Merrill Lynch) in 1999 and served in various positions, including Chief Marketing Officer, Head of Corporate Acquisitions Strategy and Research in 2005 and President of the Global Private Client business from 2002 to 2005. Prior to joining Merrill Lynch, was a senior partner at McKinsey & Co., serving in the firm’s financial services practice. Earlier in his career, was an attorney in Australia. As CEO of the Company, Mr. Gorman is a proven leader with an established record as a strategic thinker backed by strong operating, business development and execution skills and brings an extensive understanding of Morgan Stanley’s businesses and decades of financial services experience.

Colm Kelleher

Mr. Colm Kelleher is President of Morgan Stanley. Mr. Kelleher was Executive Vice President (October 2007 to January 2016). President of Institutional Securities (January 2013 to January 2016). Head of International (January 2011 to January 2016). Co-President of Institutional Securities (January 2010 to December 2012). Chief Financial Officer and Co-Head of Strategic Planning (October 2007 to December 2009). Head of Global Capital Markets (February 2006 to October 2007). Co-Head of Fixed Income Europe (May 2004 to February 2006).

Jonathan Pruzan

Mr. Jonathan M. Pruzan is Chief Financial Officer, Executive Vice President of Morgan Stanley. Mr. Pruzan was Co-Head of Global Financial Institutions Group (January 2010 to April 2015). Co-Head of North American Financial Institutions Group M&A (September 2007 to December 2009). Head of the U.S. Bank Group (April 2005 to August 2007).

Jeffrey Brodsky

Mr. Jeffrey S. Brodsky is Executive Vice President, Chief Human Resources Officer of Morgan Stanley. Mr. Brodsky was Vice President and Global Head of Human Resources (January 2011 to December 2015). Co-Head of Human Resources (January 2010 to December 2011). Head of Morgan Stanley Smith Barney Human Resources (June 2009 to January 2010).

Keishi Hotsuki

Mr. Keishi Hotsuki is an Executive Vice President, Chief Risk Officer of Morgan Stanley. Mr. Hotsuki was Interim Chief Risk Officer (January 2011 to May 2011) and Head of Market Risk Department (March 2008 to April 2014). Director of Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. (since May 2010). Global Head of Market Risk Management at Merrill Lynch (June 2005 to September 2007).

Eric Grossman

Mr. Eric F. Grossman is Executive Vice President, Chief Legal Officer of the Company. Mr. Grossman was Global Head of Legal (September 2010 to January 2012). Global Head of Litigation (January 2006 to September 2010) and General Counsel of the Americas (May 2009 to September 2010). General Counsel of Wealth Management (November 2008 to September 2010). Partner at the law firm of Davis Polk & Wardwell LLP (June 2001 to December 2005).

Daniel Simkowitz

Mr. Daniel A. Simkowitz is Head of Investment Management of the Company. Mr. Simkowitz was Co-Head of Global Capital Markets (March 2013 to September 2015). Chairman of Global Capital Markets (November 2009 to March 2013). Managing Director in Global Capital Markets (December 2000 to November 2009).

Thomas Glocer

Mr. Thomas H. Glocer re-designated as Lead Independent Director of Morgan Stanley, effective September 1, 2017. Mr. Glocer Founder of Angelic Ventures, LP (Angelic), a family office focusing on early-stage investments in financial technology, cyber defense and media, and Managing Partner of Angelic since 2012. He Served as CEO of Thomson Reuters Corporation, a news and information provider for businesses and professionals, from April 2008 through December 2011, and as CEO of Reuters Group PLC from July 2001 to April 2008. Joined Reuters Group PLC in 1993 and served in a variety of executive roles before being named CEO. Mergers and acquisitions lawyer at the law firm of Davis Polk & Wardwell LLP from 1984 to 1993. Mr. Glocer’s leadership positions, including in his capacity as Independent Lead Director appointed by our independent directors and as CEO of Thomson Reuters Corporation, brings to the Board extensive management experience as well as operational and technology experience and international perspective.

Nobuyuki Hirano

Mr. Nobuyuki Hirano is Director of Morgan Stanley. Mr. Hirano President and Group CEO of MUFG, one of the world’s leading financial groups, since April 2013, and since April 2016 Chairman of MUFG Bank, Ltd. (MUFG Bank, formerly The Bank of Tokyo-Mitsubishi UFJ, Ltd.), the core commercial banking unit of MUFG. Director of MUFG since June 2010 and Deputy President from October 2010 to March 2012. President and CEO of MUFG Bank from April 2012 to March 2016 and Deputy President of MUFG Bank from June 2009 to March 2012. Managing Officer of MUFG from 2009 to 2010 and Senior Managing Director from 2008 to 2009 and Managing Director from 2006 to 2008 of MUFG Bank. Numerous senior-level positions in Japan and abroad since joining The Mitsubishi Bank, Limited in 1974, including in the Corporate Planning Office and Corporate Banking Division of The Bank of Tokyo-Mitsubishi, Ltd. Previously served as a director of Morgan Stanley from 2009 to 2011.

Ryosuke Tamakoshi

Mr. Ryosuke Tamakoshi is Director of Morgan Stanley. Mr. Tamakoshi has served as a Senior Advisor of The Bank of Tokyo-Mitsubishi UFJ, Ltd. (BTMU) since June 2010. He served as Chairman of MUFG from October 2005 to June 2010 and Deputy Chairman of MUFG Bank from January 2006 to March 2008. Before the merger of the former Mitsubishi Tokyo Financial Group and UFJ Holdings, President and CEO of UFJ Holdings, Inc. and Chairman of UFJ Bank, Ltd. Began his professional career at The Sanwa Bank, one of the legacy banks of MUFG Bank, in 1970. As a senior officer advisor to MUFG Bank and as former Chairman of MUFG, Mr. Tamakoshi brings to the Board over 45 years of banking experience and international, risk management and strategic expertise.

Elizabeth Corley

Ms. Elizabeth Corley, CBE has been appointed as Independent Director of the Company effective January 1, 2018. Ms. Corley is Senior Adviser of AllianzGI since April 2018, where she was non-executive Vice Chair from March 2016 to March 2018, global CEO from January 2012 to February 2016 and European CEO from 2005 to 2011. Held various leadership positions at Merrill Lynch Investment Managers (formerly Mercury Asset Management) from 1993 to 2004, including as Managing Director and Head of the EMEA Asia Pacific Mutual Fund Business. Began her career at Sun Alliance Life & Pensions Limited and subsequently served as a consultant and then partner at Coopers & Lybrand Management Consultants (U.K.) from 1985 to 1993. Served two terms as Chairwoman of the Forum of European Asset Managers and served on the board of the Financial Reporting Council from 2011 to 2017. Ms. Corley’s leadership positions, including through her role as CEO of AllianzGI, bring to the Board extensive management experience as well as markets and financial services experience and international perspective.

Alistair Darling

Mr. Alistair Darling is Independent Director of the Company, effective January 1, 2016. Mr. Darling Appointed to the House of Lords on December 10, 2015. Previously a member of the British Parliament, serving as a member of the House of Commons from 1987 to 2015. He Held several leadership positions in the U.K. government, including as Chancellor of the Exchequer from 2007 to 2010, Secretary of State for Trade and Industry from 2006 to 2007, Secretary of State for Scotland from 2003 to 2006, Secretary of State for Transport from 2002 to 2006, Secretary of State for Social Security/Work and Pensions from 1998 to 2002 and Chief Secretary to the Treasury from 1997 to 1998. Mr. Darling’s service as a former member of the British Parliament and as Chancellor of the Exchequer brings to the Board strong leadership, risk management and regulatory experience, as well as insight into both the global economy and the global financial system.

Robert Herz

Mr. Robert H. Herz is Independent Director of Morgan Stanley. Mr. Herz brings to the Board extensive regulatory, public accounting, financial reporting, risk management and financial experience through his private and public roles, including as Chairman of the Financial Accounting Standards Board. He is President of Robert H. Herz LLC, providing consulting services on financial reporting and other matters, since September 2010. Chairman of the Financial Accounting Standards Board from July 2002 to September 2010 and a part-time member of the International Accounting Standards Board from January 2001 to June 2002. Served as a member of the Standing Advisory Group of the Public Company Accounting Oversight Board since 2012 and on the Accounting Standards Oversight Council of Canada from 2011 to March 2017. Partner in PricewaterhouseCoopers LLP (PwC), an accounting firm, from 1985 to 2002.

Judith Miscik

Ms. Judith A. Miscik is Independent Director of Morgan Stanley. Ms. Miscik brings to the Board extensive leadership in navigating geopolitical, macroeconomic and technology risks through her private and public roles, including as CEO and Vice Chair of Kissinger and her service with the Central Intelligence Agency. She is CEO and Vice Chair of Kissinger Associates, Inc. (Kissinger), a New York-based strategic international consulting firm that assesses and navigates emerging market geopolitical and macroeconomic risks for its clients, since March 2017. Co-CEO and Vice Chair of Kissinger from 2015 to 2017 and President and Vice Chair of Kissinger from 2009 to 2015. Global head of sovereign risk at Lehman Brothers from 2005 to 2008. Central Intelligence Agency from 1983 to 2005, serving as Deputy Director for Intelligence from 2002 to 2005. Co-Chair of the President’s Intelligence Advisory Board and served as Senior Advisor for Geopolitical Risk at Barclays Capital.

Dennis Nally

Mr. Dennis M. Nally has been appointed as Independent Director of the Company, effective October 1, 2016. Mr. Nally was Chairman of PricewaterhouseCoopers International Ltd., the coordinating and governance entity of the PwC network from 2009 to July 2016. Chairman and Senior Partner of the U.S. firm of PricewaterhouseCoopers LLP (PwC) from May 2002 to June 2009. Joined PwC in 1974 and became a partner in 1985, serving in numerous leadership positions within PwC, including National Director of Strategic Planning, Audit and Business Advisory Services Leader, and Managing Partner. Mr. Nally brings to the Board over 40 years of regulatory, public accounting and financial reporting experience, including through his role as Chairman of PricewaterhouseCoopers International Ltd., as well as extensive technology and management experience.

Hutham Olayan

Ms. Hutham S. Olayan is Independent Director of Morgan Stanley. Ms. Olayan is Vice Chair since 2018 and principal and director since 1981 of The Olayan Group, a private multinational enterprise that is a diversified global investor and operator of commercial and industrial businesses in Saudi Arabia. Served as President and CEO of The Olayan Group’s U.S. operations for almost 30 years until December 2017, overseeing all investment activities in the Americas. Member of the Executive Advisory Board of General Atlantic and a former director of Thermo Electron Corporation. Ms. Olayan’s leadership positions, including as President and CEO of The Olayan Group’s U.S. operations, bring to the Board extensive management experience and her financial experience in the U.S. and internationally, including in the Middle East, strengthens the Board’s global perspective.

Perry Traquina

Mr. Perry M. Traquina is Independent Director of the Company. He was Chairman, CEO and Managing Partner of Wellington Management Company LLP (Wellington), a global, multi-asset investment management firm, serving from 2004 through June 2014 as CEO and Managing Partner and from 2004 through December 2014 as Chairman. Partner, Senior Vice President and Director of Global Research at Wellington from 1998 to 2002 and President from 2002 to 2004. He Joined Wellington in 1980 and served in a number of executive roles before being named Chairman, CEO and Managing Partner. Mr. Traquina brings to the Board extensive senior executive, regulatory and risk management experience, as well as investor perspective and market knowledge from his over 30 years at the global investment management firm Wellington.

Rayford Wilkins

Mr. Rayford Wilkins, Jr., is Independent Director of Morgan Stanley. Mr. Wilkins is CEO of Diversified Businesses of AT&T Inc. (AT&T), the telecommunications company, responsible for international investments, AT&T Interactive, AT&T Advertising Solutions and Customer Information Services from October 2008 to March 2012. During his career, he served in numerous other management roles at AT&T, including as Group President and CEO of SBC Enterprise Business Services, Group President of SBC Marketing and Sales, and President and CEO of Pacific Bell Telephone Company and Nevada Bell Telephone Company. Mr. Wilkins brings to the Board extensive management, technology and operational experience, as well as international perspective, through the various management positions he held at AT&T.

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