Individual Firm
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MARTIN EMBREE DRAKE
CRD#: 1073935
IA
B
MORGAN STANLEYCRD#: 149777 2882 Sand Hill Road
Suite 200
Menlo Park, CA 94025
Suite 200
Menlo Park, CA 94025
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2/9/2007
Customer Dispute
Settled
State Registrations
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Arizona 6/1/2009
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Nebraska 11/14/2022
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Arkansas 1/9/2025
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Nevada 6/1/2009
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California 6/1/2009
B
New Hampshire 2/7/2024
IA
California 6/1/2009
B
New Mexico 1/7/2022
B
Colorado 6/1/2009
B
New York 2/5/2021
B
Connecticut 3/9/2020
B
North Carolina 6/1/2009
B
District of Columbia 11/14/2022
B
Oregon 6/1/2009
B
Florida 6/1/2009
B
Pennsylvania 11/23/2021
B
Georgia 6/1/2009
B
Tennessee 6/1/2009
B
Idaho 6/1/2009
B
Texas 6/1/2009
B
Illinois 7/13/2020
IA
Texas 3/3/2020
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Massachusetts 6/1/2009
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Utah 6/1/2009
B
Michigan 8/16/2021
B
Vermont 1/14/2025
B
Missouri 6/9/2020
B
Virginia 8/29/2016
B
Montana 6/1/2009
B
Washington 6/1/2009
SRO Registrations
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IA
Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/18/2008 - 06/01/2009 | MENLO PARK, CA | |
B | 01/18/2008 - 06/01/2009 | MENLO PARK, CA | |
IA | 07/08/1997 - 01/29/2008 | MENLO PARK, CA | |
B | 10/04/1993 - 01/29/2008 | MENLO PARK, CA | |
B | 07/31/1993 - 10/26/1993 | NEW YORK, NY | |
B | 04/11/1988 - 07/31/1993 | NEW YORK, NY | |
B | 10/30/1987 - 04/11/1988 | ||
B | 04/06/1984 - 11/17/1987 |
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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.