Individual Firm
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JAMES PETER DRETLER
CRD#: 1065844
IA
B
MORGAN STANLEYCRD#: 149777 7175 North Pima Canyon Drive
Tucson, AZ 85718
Tucson, AZ 85718
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10/21/2010
Customer Dispute
Settled
9/11/2002
Customer Dispute
Denied
State Registrations
B
Arizona 6/1/2009
B
Minnesota 6/1/2009
B
California 6/1/2009
B
New Mexico 6/1/2009
IA
California 6/1/2009
B
New York 6/1/2009
B
Colorado 5/11/2012
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Oregon 6/1/2009
B
Georgia 6/1/2009
B
South Carolina 1/13/2017
B
Idaho 6/1/2009
B
Tennessee 6/1/2009
B
Illinois 6/1/2009
B
Texas 6/1/2009
B
Massachusetts 6/1/2009
IA
Texas 6/1/2009
B
Michigan 6/1/2009
B
Washington 9/6/2018
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 | 08/14/2008 - 06/01/2009 | TUCSON, AZ | |
B | 08/13/2008 - 06/01/2009 | TUCSON, AZ | |
IA | 07/05/2000 - 08/25/2008 | TUCSON, AZ | |
B | 07/31/1993 - 08/25/2008 | TUCSON, AZ | |
B | 09/03/1991 - 07/31/1993 | NEW YORK, NY | |
B | 09/24/1982 - 09/03/1991 | NEW YORK, NY |
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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.