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Detailed Report
BARBARA JEAN CLARKE
BARBARA JEAN WARREN
CRD#: 1072327
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Newtown, PA
Registration History
1985199019952000200520102015202020252 FIRMS1986 - 1986 (<1 year)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1989 - 2008 (19 years)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1987 - 1989 (1 year)BHANOVER CONCEPTS, INC. (CRD# 14469)1986 - 1987 (1 year)BCARDELL & ASSOCIATES, INCORPORATED (CRD# 7700)1985 - 1986 (<1 year)BRADFORD CAPITAL CORPORATION (CRD# 10480)1985 - 1985 (<1 year)BMUTUAL SERVICE CORPORATION (CRD# 4806)1984 - 1985 (<1 year)BCARDELL & ASSOCIATES, INCORPORATED (CRD# 7700)1982 - 1984 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1990 - 2008 (17 years)
License(s)

State Registrations

B
California 6/1/2009
B
New Hampshire 6/1/2009
B
Connecticut 1/7/2025
B
New Jersey 6/1/2009
B
Florida 6/1/2009
IA
New Jersey 6/1/2009
B
Georgia 6/24/2010
B
New York 6/1/2009
B
Illinois 1/13/2021
B
North Carolina 5/20/2011
B
Kentucky 6/1/2009
B
Pennsylvania 6/1/2009
B
Maine 9/21/2022
IA
Pennsylvania 9/6/2019
B
Maryland 6/1/2009
B
South Carolina 6/1/2009
B
Massachusetts 5/1/2019
IA
Texas 6/1/2009
B
Missouri 7/7/2017
B
Virginia 6/1/2009
B
Montana 11/11/2019

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)
Newtown, PA
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
Newtown, PA
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 08/29/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LAWRENCEVILLE, NJ
B
 08/29/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LAWRENCEVILLE, NJ
IA
 11/12/1990 - 09/03/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PRINCETON, NJ
B
 03/29/1989 - 09/03/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PRINCETON, NJ
B
 11/19/1987 - 01/01/1989 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471)
B
 05/22/1986 - 07/30/1987 HANOVER CONCEPTS, INC. (CRD#:14469)
B
 09/22/1986 - 11/28/1986 ABACUS EQUITY SERVICES, INC. (CRD#:11271)
B
 08/18/1986 - 09/03/1986 EXCALIBUR SECURITIES, INC. (CRD#:13753)
B
 10/23/1985 - 08/13/1986 CARDELL & ASSOCIATES, INCORPORATED (CRD#:7700)
FINRA expelled the firm on 01/15/1987
B
 06/21/1985 - 10/25/1985 RADFORD CAPITAL CORPORATION (CRD#:10480)
FINRA expelled the firm on 05/07/1988
B
 07/17/1984 - 06/12/1985 MUTUAL SERVICE CORPORATION (CRD#:4806)
B
 11/24/1982 - 07/24/1984 CARDELL & ASSOCIATES, INCORPORATED (CRD#:7700)
FINRA expelled the firm on 01/15/1987
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.