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Detailed Report
Registration History
198519901995200020052010201520202025IAMORGAN STANLEY (CRD# 149777)2018 - Present (6 years)BMORGAN STANLEY (CRD# 149777)2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1981 - 1993 (11 years)
Disclosure(s)
View By:
2/2/2010
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 2/9/2011
B
New Hampshire 6/1/2009
B
Arizona 6/1/2009
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New Mexico 9/22/2022
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Connecticut 6/1/2009
IA
New York 6/16/2021
B
Delaware 6/1/2009
B
North Carolina 6/1/2009
B
District of Columbia 6/1/2009
B
Ohio 1/28/2021
B
Florida 6/1/2009
B
Oregon 6/1/2009
IA
Florida 8/30/2018
B
Pennsylvania 6/1/2009
B
Georgia 6/1/2009
B
Rhode Island 6/1/2009
B
Hawaii 6/1/2009
B
South Carolina 6/1/2009
B
Illinois 6/1/2009
B
South Dakota 6/1/2009
B
Iowa 12/5/2022
B
Tennessee 6/1/2009
B
Maine 9/1/2023
B
Texas 6/1/2009
B
Maryland 6/1/2009
IA
Texas 4/2/2020
B
Massachusetts 6/1/2009
B
Utah 3/14/2014
B
Michigan 1/5/2018
B
Virginia 6/1/2009
B
Minnesota 9/28/2011
B
Washington 6/1/2009
B
Missouri 6/1/2009
B
Wisconsin 7/20/2015

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
Bonita Springs, FL
Cutchogue, NY
Registered with this firm since 8/30/2018
B
MORGAN STANLEY (CRD#:149777)
Bonita Springs, FL
Cutchogue, NY
Registered with this firm since 6/1/2009
Previous Registration(s)
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B
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 08/18/1981 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.