Individual Firm
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JOSEPH FRANCIS EGAN
JOE EGAN
CRD#: 1189990
IA
B
MORGAN STANLEYCRD#: 149777 207 East Westminster
Suite 300
Lake Forest, IL 60045
Suite 300
Lake Forest, IL 60045
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10/22/1978
Criminal
Final Disposition
8/24/1978
Criminal
Final Disposition
State Registrations
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Alabama 10/5/2023
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Nebraska 6/5/2023
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Alaska 10/11/2023
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Nevada 10/11/2023
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Arizona 6/1/2009
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New Hampshire 6/7/2023
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Arkansas 10/6/2023
B
New Jersey 8/17/2022
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California 2/26/2014
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New Mexico 10/5/2023
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Colorado 6/1/2009
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New York 4/18/2018
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Connecticut 4/11/2022
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North Carolina 6/5/2023
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Delaware 6/7/2023
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North Dakota 10/9/2023
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District of Columbia 10/13/2023
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Ohio 2/5/2021
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Florida 6/1/2009
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Oklahoma 10/5/2023
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Georgia 10/5/2023
B
Oregon 6/1/2009
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Hawaii 10/5/2023
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Pennsylvania 6/5/2023
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Idaho 10/5/2023
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Puerto Rico 10/17/2023
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Illinois 6/1/2009
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Rhode Island 6/15/2021
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Illinois 6/1/2009
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South Carolina 6/5/2023
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Indiana 6/1/2009
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South Dakota 6/5/2023
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Iowa 6/5/2023
B
Tennessee 6/7/2023
B
Kansas 10/5/2023
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Texas 2/18/2010
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Kentucky 5/8/2023
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Texas 2/6/2012
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Louisiana 10/9/2023
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Utah 10/5/2023
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Maine 6/1/2009
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Vermont 10/5/2023
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Maryland 10/6/2023
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Virgin Islands 10/5/2023
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Massachusetts 6/1/2009
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Virginia 6/1/2009
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Michigan 11/8/2019
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Washington 6/2/2023
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Minnesota 10/5/2023
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West Virginia 10/5/2023
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Mississippi 6/5/2023
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Wisconsin 6/1/2009
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Missouri 4/12/2023
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Wyoming 10/9/2023
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Montana 8/11/2021
SRO Registrations
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/27/2009 - 06/01/2009 | LAKE FOREST, IL | |
B | 02/27/2009 - 06/01/2009 | LAKE FOREST, IL | |
IA | 08/14/1995 - 03/03/2009 | LAKE FOREST, IL | |
B | 11/18/1994 - 03/03/2009 | LAKE FOREST, IL | |
B | 07/31/1993 - 11/03/1994 | NEW YORK, NY | |
B | 02/15/1988 - 07/31/1993 | NEW YORK, NY | |
B | 09/22/1983 - 02/15/1988 |
LAKE FOREST, IL
08/14/1995 - 03/03/2009
LAKE FOREST, IL
11/18/1994 - 03/03/2009
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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.
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