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Detailed Report
DAN LEE FLORES
DANNY LEE FLORES SR, DANNY LEE FLORES
CRD#: 1273584
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1400 Page Mill Road
Palo Alto, CA 94304
Registration History
1985199019952000200520102015202020252 FIRMS2010 - Present (14 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1995 - 2010 (15 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1986 - 1995 (8 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1984 - 1986 (2 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - 2010 (13 years)
License(s)

State Registrations

B
Arizona 10/1/2010
B
New Jersey 3/5/2019
B
California 10/1/2010
B
New Mexico 8/15/2019
IA
California 10/4/2010
B
New York 6/12/2019
B
Colorado 10/1/2010
B
North Carolina 8/15/2019
B
Connecticut 8/15/2019
B
Oklahoma 10/1/2010
B
Florida 4/2/2018
B
Oregon 10/1/2010
B
Georgia 4/4/2014
B
Pennsylvania 10/1/2010
B
Hawaii 3/21/2018
B
Rhode Island 7/1/2022
B
Idaho 4/6/2017
B
South Carolina 8/15/2019
B
Illinois 5/28/2013
B
Tennessee 5/4/2016
B
Maine 5/13/2024
B
Texas 1/7/2014
B
Massachusetts 8/15/2019
IA
Texas 4/15/2020
B
Michigan 8/15/2019
B
Utah 8/15/2019
B
Minnesota 10/1/2010
B
Virginia 8/15/2019
B
Missouri 4/4/2014
B
Washington 6/20/2012
B
Montana 10/1/2010
B
Wisconsin 8/15/2019
B
Nevada 1/23/2024
B
Wyoming 1/13/2022
B
New Hampshire 5/14/2019

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
1400 Page Mill Road, Palo Alto, CA 94304
Registered with this firm since 10/4/2010
B
MORGAN STANLEY (CRD#:149777)
1400 Page Mill Road, Palo Alto, CA 94304
Registered with this firm since 10/1/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/08/1997 - 10/08/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) PALO ALTO, CA
B
 01/28/1995 - 10/08/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) PALO ALTO, CA
B
 08/28/1986 - 01/28/1995 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
 07/06/1984 - 09/04/1986 DEAN WITTER REYNOLDS INC. (CRD#:7556)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.