Individual Firm
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SERGIO G GRANADOS
GRANADOS SERGIO GARCIA, SERGIO EDUARDO GARCIA GRANADOS, SERGIO GARCIA GRANADOS, SERGIO GARCIAGRANADOS, SERGIO GARCIA GRANADOS…
CRD#: 1038000
IA
B
MORGAN STANLEYCRD#: 149777 200 South Biscayne Boulevard
Suite 1100
Miami, FL 33131
Suite 1100
Miami, FL 33131
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6/6/1995
Customer Dispute
Settled
State Registrations
B
Alaska 6/1/2009
B
Indiana 4/16/2020
B
California 7/29/2019
B
Massachusetts 7/17/2020
B
Colorado 9/1/2017
B
New York 6/1/2009
B
Delaware 9/11/2009
B
Pennsylvania 6/18/2009
B
Florida 6/1/2009
B
South Dakota 7/18/2018
IA
Florida 6/1/2009
B
Texas 6/1/2009
B
Georgia 6/25/2019
IA
Texas 4/15/2020
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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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 | 05/05/2009 - 06/01/2009 | MIAMI, FL | |
B | 04/24/2009 - 06/01/2009 | MIAMI, FL | |
IA | 06/03/2002 - 05/05/2009 | CORAL GABLES, FL | |
B | 06/03/2002 - 05/05/2009 | CORAL GABLES, FL | |
B | 12/18/1998 - 06/03/2002 | WEEHAWKEN, NJ | |
IA | 12/23/1998 - 06/01/2002 | CORAL GABLES, FL | |
B | 03/09/1988 - 12/24/1998 | NEW YORK, NY | |
B | 04/22/1982 - 03/16/1988 |
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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.