Individual Firm
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STEVEN PAUL GOBEL SR
STEVEN PAUL GOBEL
CRD#: 1244705
IA
B
MORGAN STANLEYCRD#: 149777 1500 Main Street
19th Floor
Springfield, MA 01115
19th Floor
Springfield, MA 01115
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8/6/2002
Customer Dispute
Settled
8/5/2002
Customer Dispute
Denied
State Registrations
B
Alabama 4/5/2021
B
Montana 4/5/2021
B
Arizona 6/1/2009
B
Nevada 4/5/2021
B
California 3/25/2014
B
New Hampshire 6/1/2009
B
Colorado 6/1/2009
B
New Jersey 6/1/2009
B
Connecticut 6/1/2009
B
New York 6/1/2009
IA
Connecticut 4/21/2010
B
North Carolina 6/1/2009
B
Delaware 1/28/2020
B
Ohio 2/22/2017
B
District of Columbia 4/5/2021
B
Oklahoma 4/5/2021
B
Florida 6/1/2009
B
Oregon 5/23/2019
B
Georgia 6/1/2009
B
Pennsylvania 11/14/2019
B
Hawaii 4/5/2021
B
Rhode Island 10/3/2013
B
Illinois 4/5/2021
IA
Rhode Island 1/27/2025
B
Indiana 4/10/2017
B
South Carolina 4/5/2021
B
Iowa 4/29/2021
B
Texas 4/5/2021
B
Kentucky 4/5/2021
IA
Texas 4/7/2021
B
Maine 6/1/2009
B
Vermont 6/1/2009
B
Maryland 6/1/2009
B
Virginia 10/3/2013
B
Massachusetts 6/1/2009
B
Washington 2/14/2017
B
Michigan 4/5/2021
B
Wisconsin 4/5/2021
B
Minnesota 9/17/2019
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered representatives
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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 | 11/16/2007 - 06/01/2009 | SPRINGFIELD, MA | |
B | 11/16/2007 - 06/01/2009 | SPRINGFIELD, MA | |
B | 01/28/1995 - 11/29/2007 | SPRINGFIELD, MA | |
B | 08/28/1990 - 01/28/1995 | NEW YORK, NY | |
B | 08/14/1984 - 04/10/1986 | ||
B | 02/28/1984 - 08/03/1984 |
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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.