Individual Firm
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DAVID M SIMON
David Simon
CRD#: 1073980
IA
B
MORGAN STANLEYCRD#: 149777 595 South Federal Highway
Suite 400
Boca Raton, FL 33432
Suite 400
Boca Raton, FL 33432
View By:
5/25/1999
Customer Dispute
Denied
State Registrations
B
Alabama 10/9/2020
B
Michigan 9/30/2020
B
Arizona 9/30/2020
B
Nevada 12/17/2020
B
California 9/30/2020
B
New Hampshire 9/30/2020
B
Colorado 10/1/2020
B
New Jersey 9/30/2020
B
Connecticut 9/30/2020
B
New Mexico 5/11/2022
B
Delaware 10/14/2020
B
New York 9/30/2020
B
District of Columbia 12/17/2020
B
North Carolina 9/30/2020
B
Florida 10/1/2020
B
Ohio 9/30/2020
IA
Florida 10/1/2020
B
Oregon 12/17/2020
B
Georgia 10/1/2020
B
Pennsylvania 9/30/2020
B
Illinois 12/17/2020
B
Rhode Island 9/30/2020
B
Indiana 12/17/2020
B
South Carolina 2/10/2021
B
Louisiana 9/30/2020
B
Tennessee 9/30/2020
B
Maine 4/22/2021
B
Texas 9/30/2020
B
Maryland 9/30/2020
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Texas 9/30/2020
B
Massachusetts 9/30/2020
B
Virginia 9/30/2020
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 9/30/2020
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Registered with this firm since 9/30/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/28/1995 - 10/09/2020 | BOCA RATON, FL | |
B | 01/28/1995 - 10/09/2020 | BOCA RATON, FL | |
B | 08/19/1993 - 01/28/1995 | NEW YORK, NY | |
B | 09/15/1989 - 08/10/1993 | NEW YORK, NY | |
B | 01/18/1985 - 09/15/1989 | NEW YORK, NY | |
B | 07/01/1983 - 08/07/1985 | ||
B | 12/21/1983 - 12/10/1984 | ||
B | 11/26/1982 - 07/07/1983 |
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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.