Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
STEVEN RANDALL GERAGHTY
CRD#: 1028353
IA
B
MORGAN STANLEYCRD#: 149777 609 Deep Valley Drive
Suite 400
Rolling Hills Estates, CA 90274
Suite 400
Rolling Hills Estates, CA 90274
View By:
5/19/1997
Customer Dispute
Award / Judgment
5/24/1996
Customer Dispute
Settled
10/1/1995
Customer Dispute
Award / Judgment
11/1/1991
Customer Dispute
Settled
State Registrations
B
Alaska 3/26/2014
B
Minnesota 6/19/2019
B
Arizona 6/1/2009
B
Montana 5/2/2023
B
California 6/1/2009
B
Nevada 6/1/2009
IA
California 6/1/2009
B
New Mexico 6/1/2009
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Connecticut 8/21/2020
B
North Carolina 2/27/2018
B
Delaware 10/9/2020
B
Oklahoma 4/11/2017
B
District of Columbia 6/1/2009
B
Oregon 6/1/2009
B
Florida 6/1/2009
B
Pennsylvania 6/1/2009
B
Georgia 8/30/2011
B
Tennessee 6/1/2009
B
Hawaii 3/19/2018
B
Texas 4/16/2014
B
Idaho 5/13/2019
IA
Texas 3/3/2020
B
Illinois 6/1/2009
B
Utah 5/1/2019
B
Indiana 10/17/2023
B
Virginia 9/12/2014
B
Kansas 6/1/2009
B
Washington 10/24/2013
B
Maryland 6/1/2009
B
Wisconsin 9/15/2015
B
Massachusetts 6/1/2009
B
Wyoming 12/7/2012
B
Michigan 6/1/2009
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/08/1997 - 06/01/2009 | ROLLING HILLS, CA | |
B | 10/19/1994 - 06/01/2009 | ROLLING HILLS, CA | |
B | 10/12/1987 - 10/21/1994 | NEW YORK, NY | |
B | 07/19/1984 - 10/06/1987 | ||
B | 02/01/1982 - 07/23/1984 |
For additional information about investment advisers or broker-dealers, please visit
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.