Individual Firm
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ROY A NUTT JR
ROY ADDISON NUTT JR, ROY ADDISON (JR) NUTT, ROY A NUTT JR. JR
CRD#: 1208164
IA
B
MORGAN STANLEYCRD#: 149777 3500 Colonnade Parkway
Suite 200
Birmingham, AL 35243
Suite 200
Birmingham, AL 35243
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8/11/1999
Customer Dispute
Denied
State Registrations
B
Alabama 6/1/2009
B
Michigan 4/8/2021
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Alabama 6/1/2009
B
Mississippi 6/1/2009
B
Arizona 8/9/2023
B
Missouri 1/9/2025
B
Arkansas 1/26/2023
B
Nevada 1/28/2011
B
California 6/1/2009
B
New York 11/12/2015
B
Colorado 3/9/2020
B
North Carolina 6/1/2009
B
Delaware 4/8/2021
B
Oklahoma 4/8/2021
B
District of Columbia 4/8/2021
B
Oregon 4/8/2021
B
Florida 6/1/2009
B
Pennsylvania 6/1/2009
B
Georgia 6/1/2009
B
South Carolina 4/8/2021
B
Illinois 4/8/2021
B
South Dakota 6/1/2022
B
Indiana 6/1/2009
B
Tennessee 6/1/2009
B
Iowa 3/13/2023
B
Texas 6/1/2009
B
Kentucky 12/4/2018
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Texas 2/11/2014
B
Louisiana 4/8/2021
B
Virginia 6/1/2009
B
Maryland 9/13/2018
B
Washington 9/8/2014
B
Massachusetts 4/8/2021
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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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 | 02/20/2009 - 06/01/2009 | MONTGOMERY, AL | |
B | 02/20/2009 - 06/01/2009 | MONTGOMERY, AL | |
IA | 01/11/2000 - 02/20/2009 | MONTGOMERY, AL | |
B | 10/01/1999 - 02/20/2009 | MONTGOMERY, AL | |
B | 11/03/1998 - 10/01/1999 | CHARLOTTE, NC | |
B | 03/26/1984 - 11/05/1998 | NEW YORK, NY |
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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.