Individual Firm
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LOUIS JAMES CROCE III
LOUIS JAMES CROCE
CRD#: 1131316
IA
B
MORGAN STANLEYCRD#: 149777 jupiter, FL
View By:
9/24/2002
Customer Dispute
Settled
State Registrations
B
Alaska 4/9/2021
B
New Jersey 4/9/2021
B
Arizona 4/9/2021
B
New York 4/9/2021
B
California 4/9/2021
IA
New York 6/16/2021
B
Colorado 4/9/2021
B
North Carolina 4/9/2021
B
Connecticut 4/9/2021
B
Ohio 4/9/2021
IA
Connecticut 4/12/2021
B
Oklahoma 4/9/2021
B
Florida 4/9/2021
B
Oregon 4/9/2021
IA
Florida 8/24/2022
B
Pennsylvania 4/9/2021
B
Georgia 4/9/2021
B
Rhode Island 4/9/2021
B
Illinois 4/21/2021
B
South Carolina 4/9/2021
B
Indiana 4/9/2021
B
South Dakota 4/9/2021
B
Kansas 4/9/2021
B
Texas 4/9/2021
B
Maine 4/9/2021
IA
Texas 4/9/2021
B
Maryland 4/9/2021
B
Utah 3/21/2023
B
Massachusetts 4/9/2021
B
Vermont 4/9/2021
B
Michigan 4/9/2021
B
Virginia 4/9/2021
B
Minnesota 4/27/2021
B
Wisconsin 4/9/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 4/9/2021
B
Registered with this firm since 4/9/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/11/2004 - 04/20/2021 | GARDEN CITY, NY | |
B | 10/14/1994 - 04/20/2021 | GARDEN CITY, NY | |
B | 09/18/1990 - 10/25/1994 | NEW YORK, NY | |
B | 06/08/1988 - 09/27/1990 | NEW YORK, NY | |
B | 09/29/1986 - 06/28/1988 | ||
B | 01/25/1984 - 10/10/1986 |
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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.