Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JOHN DANA ASHER
CRD#: 1273614
IA
B
MORGAN STANLEYCRD#: 149777 1333 North California Boulevard
Suite 133
Walnut Creek, CA 94596
Suite 133
Walnut Creek, CA 94596
View By:
9/29/1983
Criminal
Final Disposition
3/18/1982
Criminal
Final Disposition
State Registrations
B
Alabama 12/8/2021
B
Massachusetts 11/7/2017
B
Arizona 2/8/2022
B
Montana 11/21/2022
B
Arkansas 10/18/2017
B
Nevada 10/18/2017
B
California 10/18/2017
B
New Jersey 10/18/2017
IA
California 10/18/2017
B
New Mexico 10/18/2017
B
Colorado 10/18/2017
B
New York 10/18/2017
B
Connecticut 9/9/2024
B
North Carolina 12/9/2022
B
District of Columbia 12/23/2021
B
Oregon 10/18/2017
B
Florida 10/18/2017
B
Pennsylvania 11/13/2017
B
Georgia 5/11/2018
B
Tennessee 1/19/2021
B
Idaho 10/18/2017
B
Texas 10/18/2017
B
Illinois 1/31/2022
IA
Texas 10/18/2017
B
Indiana 2/27/2024
B
Virginia 10/18/2017
B
Kentucky 4/9/2019
B
Washington 10/18/2017
B
Maryland 10/18/2017
B
Wyoming 2/4/2021
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/18/2017
B
Registered with this firm since 10/18/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/24/2006 - 10/27/2017 | WALNUT CREEK, CA | |
B | 02/24/2006 - 10/27/2017 | WALNUT CREEK, CA | |
IA | 07/08/1997 - 02/27/2006 | BERKELEY, CA | |
B | 06/21/1984 - 02/27/2006 | PURCHASE, NY |
For additional information about investment advisers or broker-dealers, please visit
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.