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Detailed Report
Registration History
198519901995200020052010201520202025IAMORGAN STANLEY (CRD# 149777)2014 - Present (10 years)BMORGAN STANLEY (CRD# 149777)2013 - Present (11 years)BACCESS FINANCIAL GROUP, INC. (CRD# 33065)2003 - 2013 (10 years)BROUND HILL SECURITIES, INC. (CRD# 35223)1998 - 2003 (4 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1988 - 1998 (10 years)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1988 - 1988 (<1 year)BE. F. HUTTON & COMPANY INC (CRD# 235)1983 - 1988 (4 years)IAOAKSTREET WEALTH MANAGEMENT, INC. (CRD# 152613)2012 - 2014 (2 years)IAFIRST ALLIANCE ASSET MANAGEMEN... (CRD# 109107)1999 - 2010 (10 years)
Disclosure(s)
View By:
7/1/1991
Customer Dispute
Settled
11/27/1990
Customer Dispute
Award / Judgment
7/1/1987
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 12/20/2022
B
Nebraska 12/20/2022
B
Alaska 7/28/2017
B
Nevada 12/12/2013
B
Arizona 12/12/2013
B
New Hampshire 12/21/2022
B
Arkansas 12/20/2022
B
New Jersey 12/20/2022
B
California 12/12/2013
B
New Mexico 7/28/2014
IA
California 1/3/2023
B
New York 4/4/2014
B
Colorado 1/23/2017
B
North Carolina 12/12/2013
B
Connecticut 1/21/2014
B
North Dakota 1/3/2023
B
Delaware 6/14/2016
B
Ohio 12/12/2013
B
District of Columbia 12/16/2022
IA
Ohio 6/30/2015
B
Florida 12/12/2013
B
Oklahoma 12/20/2022
B
Georgia 1/21/2014
B
Oregon 12/20/2022
B
Hawaii 1/23/2014
B
Pennsylvania 12/12/2013
B
Idaho 12/16/2022
B
Puerto Rico 12/19/2022
B
Illinois 12/12/2013
B
Rhode Island 11/5/2014
IA
Illinois 4/11/2014
B
South Carolina 1/23/2014
B
Indiana 12/12/2013
B
South Dakota 12/16/2022
B
Iowa 12/19/2022
B
Tennessee 1/21/2014
B
Kansas 12/16/2022
B
Texas 2/4/2014
B
Kentucky 12/12/2013
IA
Texas 4/8/2020
B
Louisiana 12/12/2013
B
Utah 7/27/2017
B
Maine 12/20/2022
B
Vermont 12/21/2022
B
Maryland 12/12/2013
B
Virgin Islands 1/3/2023
B
Massachusetts 6/2/2014
B
Virginia 12/12/2013
B
Michigan 1/21/2014
B
Washington 8/7/2017
B
Minnesota 1/3/2014
B
West Virginia 12/20/2022
B
Mississippi 12/21/2022
B
Wisconsin 12/12/2013
B
Missouri 1/23/2023
B
Wyoming 8/2/2017
B
Montana 7/27/2017

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)
Dayton, OH
Registered with this firm since 4/11/2014
B
MORGAN STANLEY (CRD#:149777)
Dayton, OH
Registered with this firm since 12/12/2013
Previous Registration(s)
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IA
 01/24/2012 - 03/28/2014 OAKSTREET WEALTH MANAGEMENT, INC. (CRD#:152613) DAYTON, OH
B
 01/14/2003 - 12/13/2013 ACCESS FINANCIAL GROUP, INC. (CRD#:33065) DAYTON, OH
IA
 11/26/1999 - 03/31/2010 FIRST ALLIANCE ASSET MANAGEMENT INC (CRD#:109107) DAYTON, OH
B
 04/15/1998 - 01/10/2003 ROUND HILL SECURITIES, INC. (CRD#:35223) ALAMO, CA
B
 02/19/1988 - 04/02/1998 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 02/15/1988 - 03/03/1988 SHEARSON LEHMAN HUTTON INC. (CRD#:7506)
B
 09/01/1983 - 02/15/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
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.