Individual Firm
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JAMES PAUL VALENTI
CRD#: 1231749
IA
B
MORGAN STANLEYCRD#: 149777 100 North Tampa Street
Suite 3000
Tampa, FL 33602
Suite 3000
Tampa, FL 33602
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10/30/1995
Customer Dispute
Settled
State Registrations
B
Alabama 6/22/2009
B
Michigan 6/26/2014
B
Arizona 3/30/2023
B
Minnesota 3/29/2023
B
California 6/1/2009
B
Missouri 8/25/2023
B
Colorado 6/1/2009
B
Nevada 6/1/2009
B
Connecticut 3/29/2023
B
New Hampshire 4/4/2023
B
Delaware 7/21/2020
B
New Jersey 6/1/2009
B
Florida 6/1/2009
B
New York 6/1/2009
IA
Florida 6/1/2009
B
North Carolina 6/1/2009
B
Georgia 6/1/2009
B
Ohio 6/1/2009
B
Hawaii 6/1/2009
B
Pennsylvania 6/1/2009
B
Idaho 6/24/2014
B
Rhode Island 4/10/2023
B
Illinois 3/11/2020
B
South Carolina 6/1/2009
B
Indiana 6/1/2009
B
Tennessee 7/1/2022
B
Iowa 3/30/2023
B
Texas 6/1/2009
B
Kansas 3/29/2023
IA
Texas 8/3/2015
B
Kentucky 9/23/2021
B
Utah 3/17/2014
B
Louisiana 12/4/2009
B
Virginia 6/1/2009
B
Maine 3/29/2023
B
Washington 2/18/2011
B
Maryland 6/1/2009
B
West Virginia 3/30/2023
B
Massachusetts 3/29/2023
B
Wisconsin 9/24/2021
SRO Registrations
B
B
B
B
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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 | 04/17/1991 - 06/01/2009 | TAMPA, FL | |
B | 07/10/1984 - 06/01/2009 | TAMPA, FL | |
B | 01/25/1984 - 07/12/1984 |
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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.