Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
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.
< Back to Results
Detailed Report
RANDOLPH CHARLES COOK
CRD#: 1273705
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1020 10th Street
2nd Floor
Modesto, CA 95354
Registration History
1985199019952000200520102015202020252 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1984 - 1988 (3 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2009 (11 years)
Disclosure(s)
View By:
12/1/2003
Customer Dispute
Settled
4/14/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Alaska 6/1/2009
B
Montana 6/1/2009
B
Arizona 6/1/2009
B
Nebraska 5/13/2024
B
Arkansas 11/3/2020
B
Nevada 6/1/2009
B
California 6/1/2009
B
North Carolina 3/2/2016
IA
California 6/1/2009
B
Oregon 6/1/2009
B
Colorado 6/1/2009
B
Pennsylvania 4/28/2021
B
Florida 5/9/2012
B
South Dakota 7/10/2018
B
Georgia 4/8/2022
B
Tennessee 6/28/2021
B
Idaho 6/1/2016
B
Texas 6/1/2009
B
Kansas 12/13/2013
IA
Texas 2/24/2020
B
Maryland 6/1/2009
B
Virginia 1/4/2019
B
Massachusetts 11/4/2024
B
Washington 6/1/2009
B
Michigan 1/21/2022
B
Wisconsin 9/29/2022
B
Missouri 7/10/2019

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)
1020 10th Street 2nd Floor, Modesto, CA 95354
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
1020 10th Street 2nd Floor, Modesto, CA 95354
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/08/1997 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MODESTO, CA
B
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MODESTO, CA
B
 04/11/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 06/20/1984 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
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.