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.
MICHAEL GERARD FINIZIO
CRD#: 1273682
IA
B
MORGAN STANLEYCRD#: 149777 15260 Ventura Boulevard
Suite 1900
Sherman Oaks, CA 91403
Suite 1900
Sherman Oaks, CA 91403
View By:
3/21/1996
Customer Dispute
Award / Judgment
3/2/1989
Customer Dispute
Settled
State Registrations
B
Alabama 2/14/2024
B
New Jersey 6/1/2009
B
Arizona 6/1/2009
B
New Mexico 6/1/2009
B
California 6/1/2009
B
New York 6/1/2009
IA
California 6/1/2009
B
North Carolina 6/1/2009
B
Colorado 6/1/2009
B
Ohio 6/1/2009
B
Connecticut 6/1/2009
B
Oklahoma 9/27/2022
B
District of Columbia 1/27/2021
B
Oregon 6/1/2009
B
Florida 6/1/2009
B
Pennsylvania 6/1/2009
B
Georgia 6/1/2009
B
South Carolina 3/10/2021
B
Hawaii 6/1/2009
B
Texas 6/1/2009
B
Illinois 6/1/2009
IA
Texas 6/1/2009
B
Kansas 1/25/2018
B
Utah 6/1/2009
B
Maryland 1/11/2011
B
Vermont 10/13/2023
B
Nebraska 7/30/2024
B
Virginia 4/19/2016
B
Nevada 6/1/2009
B
Washington 6/1/2009
B
New Hampshire 6/1/2009
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 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | BURBANK, CA | |
B | 04/02/2007 - 06/01/2009 | BURBANK, CA | |
IA | 07/08/1997 - 04/02/2007 | BURBANK, CA | |
B | 05/02/1990 - 04/02/2007 | BURBANK, CA | |
B | 03/09/1987 - 05/18/1990 | NEW YORK, NY | |
B | 07/12/1985 - 03/25/1987 | ||
B | 06/20/1984 - 07/24/1985 |
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.