Individual Firm
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JERRY GLENN MAIZE
CRD#: 1019560
IA
B
MORGAN STANLEYCRD#: 149777 Reno, NV
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10/7/2002
Customer Dispute
Denied
State Registrations
B
Alabama 8/12/2014
IA
Nevada 2/3/2025
B
Arizona 6/1/2009
B
New Hampshire 10/9/2024
B
California 6/1/2009
B
New Jersey 10/10/2022
IA
California 6/1/2009
B
New York 1/27/2015
B
Colorado 6/1/2009
B
North Carolina 10/7/2019
B
District of Columbia 11/20/2023
B
Ohio 5/8/2013
B
Florida 6/1/2009
IA
Oklahoma 6/1/2009
B
Georgia 4/14/2022
B
Oregon 3/2/2012
B
Hawaii 12/16/2014
B
Rhode Island 10/25/2023
B
Idaho 3/13/2023
B
South Carolina 10/10/2022
B
Illinois 2/17/2012
B
South Dakota 5/21/2019
B
Iowa 9/28/2020
B
Texas 6/1/2009
B
Maine 8/4/2023
IA
Texas 3/11/2020
B
Massachusetts 3/2/2012
B
Utah 10/1/2014
B
Missouri 1/6/2012
B
Virginia 6/1/2009
B
Montana 7/22/2021
B
Washington 6/1/2009
B
Nevada 5/19/2014
SRO Registrations
B
B
B
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/08/1997 - 06/01/2009 | LONG BEACH, CA | |
B | 07/31/1993 - 06/01/2009 | LONG BEACH, CA | |
B | 02/22/1993 - 07/31/1993 | NEW YORK, NY | |
B | 02/05/1988 - 03/04/1993 | NEW YORK, NY | |
B | 12/22/1981 - 02/12/1988 |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.