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Detailed Report
Registration History
199019952000200520102015202020252 FIRMS2002 - 2005 (2 years)2 FIRMS2005 - 2007 (2 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1994 - 2002 (8 years)BSMITH BARNEY SHEARSON INC. (CRD# 7059)1993 - 1994 (<1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1987 - 1988 (<1 year)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1999 - 2002 (2 years)
Disclosure(s)
View By:
11/5/2004
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Alabama 5/31/2016
B
Nebraska 2/19/2019
B
Alaska 8/1/2022
B
Nevada 6/1/2009
B
Arizona 6/1/2009
IA
Nevada 6/1/2009
B
Arkansas 2/21/2019
B
New Hampshire 6/1/2009
B
California 6/1/2009
B
New Jersey 6/1/2009
IA
California 6/1/2009
B
New Mexico 2/18/2019
B
Colorado 11/14/2022
B
New York 6/1/2009
B
Connecticut 9/5/2018
B
North Carolina 2/19/2019
B
Delaware 11/30/2022
B
North Dakota 2/15/2019
B
District of Columbia 11/4/2022
B
Ohio 9/27/2022
B
Florida 6/1/2009
B
Oklahoma 11/30/2022
B
Georgia 2/18/2019
B
Oregon 6/6/2018
B
Hawaii 6/23/2017
B
Pennsylvania 3/8/2017
B
Idaho 1/11/2019
B
Puerto Rico 2/19/2019
B
Illinois 6/1/2009
B
Rhode Island 3/1/2019
B
Indiana 2/18/2019
B
South Carolina 6/1/2009
B
Iowa 9/15/2022
B
South Dakota 2/15/2019
B
Kansas 11/18/2022
B
Tennessee 2/14/2022
B
Kentucky 12/19/2022
B
Texas 2/18/2019
B
Louisiana 11/7/2022
IA
Texas 3/11/2020
B
Maine 12/20/2022
B
Utah 2/19/2019
B
Maryland 12/20/2022
B
Vermont 12/21/2022
B
Massachusetts 2/24/2014
B
Virgin Islands 10/17/2022
B
Michigan 9/19/2022
B
Virginia 6/1/2009
B
Minnesota 2/15/2019
B
Washington 2/15/2019
B
Mississippi 2/19/2019
B
West Virginia 11/21/2022
B
Missouri 6/1/2009
B
Wisconsin 2/18/2019
B
Montana 6/16/2021
B
Wyoming 6/7/2018

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)
1111 Prospect Street, La Jolla, CA 92037
4350 La Jolla Village Drive Suite 1000, San Diego, CA 92122
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
1111 Prospect Street, La Jolla, CA 92037
4350 La Jolla Village Drive Suite 1000, San Diego, CA 92122
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LA JOLLA, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LA JOLLA, CA
IA
 03/07/2005 - 04/02/2007 MORGAN STANLEY (CRD#:7556) RANCHO SANTE FE, CA
B
 03/07/2005 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) RANCHO SANTE FE, CA
IA
 11/11/2002 - 02/25/2005 RBC DAIN RAUSCHER INC. (CRD#:31194) LAS VEGAS, NV
B
 11/11/2002 - 02/25/2005 RBC DAIN RAUSCHER INC. (CRD#:31194) NEW YORK, NY
IA
 12/17/1999 - 11/26/2002 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) SAN DIEGO, CA
B
 04/13/1994 - 11/26/2002 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 07/31/1993 - 04/11/1994 SMITH BARNEY SHEARSON INC. (CRD#:7059) NEW YORK, NY
B
 05/14/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 08/18/1987 - 05/14/1988 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.