Individual Firm
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JAMES WHELAN WOHLGEMUTH
JIM WOHLGEMUTH
CRD#: 1228891
IA
B
MORGAN STANLEYCRD#: 149777 Bozman, MD
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4/28/2008
Customer Dispute
Settled
State Registrations
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Arizona 6/1/2009
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Michigan 1/7/2014
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California 6/1/2009
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Minnesota 9/27/2017
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Colorado 3/4/2022
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Missouri 11/9/2023
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Connecticut 5/13/2013
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Nevada 3/17/2021
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Delaware 8/16/2018
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New Hampshire 1/6/2021
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District of Columbia 6/1/2009
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New Jersey 6/1/2009
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District of Columbia 6/1/2009
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New Mexico 6/1/2009
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Florida 6/1/2009
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New York 6/1/2009
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Georgia 6/1/2009
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North Carolina 5/13/2015
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Idaho 8/10/2018
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Oregon 5/4/2017
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Illinois 6/1/2009
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Pennsylvania 6/1/2009
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Kansas 4/14/2014
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Tennessee 11/9/2023
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Maine 10/16/2013
B
Texas 6/1/2009
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Maryland 6/1/2009
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Texas 6/1/2009
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Maryland 7/27/2022
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Utah 2/9/2012
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Massachusetts 6/1/2009
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Virginia 6/1/2009
SRO Registrations
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2009 - 06/01/2009 | WASHINGTON, DC | |
B | 03/06/2009 - 06/01/2009 | WASHINGTON, DC | |
IA | 10/05/1998 - 03/17/2009 | WASHINGTON, DC | |
B | 01/13/2001 - 03/17/2009 | WASHINGTON, DC | |
B | 09/01/1997 - 01/13/2001 | BALTIMORE, MD | |
B | 08/28/1987 - 09/01/1997 | ||
B | 01/27/1984 - 09/11/1987 |
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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.
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.