Individual Firm
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DOUGLAS RONALD NANI
CRD#: 1290128
IA
B
MORGAN STANLEYCRD#: 149777 One Financial Plaza
Providence, RI 02903
Providence, RI 02903
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12/3/2001
Customer Dispute
Denied
State Registrations
B
Alabama 12/9/2024
B
Nevada 4/6/2011
B
Arizona 10/9/2024
B
New Hampshire 6/1/2009
B
California 6/1/2009
B
New Jersey 11/6/2019
B
Colorado 9/3/2015
B
New York 6/1/2009
B
Connecticut 4/6/2011
B
North Carolina 9/11/2023
B
Delaware 12/9/2024
B
Pennsylvania 1/29/2025
B
District of Columbia 6/9/2020
B
Rhode Island 6/1/2009
B
Florida 6/1/2009
IA
Rhode Island 6/1/2009
B
Georgia 8/1/2023
B
South Carolina 10/9/2024
B
Illinois 10/9/2024
B
Texas 6/24/2021
B
Maine 3/31/2023
IA
Texas 7/1/2021
B
Massachusetts 6/1/2009
B
Virginia 1/27/2023
B
Michigan 10/9/2024
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 | 02/21/2006 - 06/01/2009 | PROVIDENCE, RI | |
B | 02/21/2006 - 06/01/2009 | PROVIDENCE, RI | |
IA | 08/17/1995 - 02/21/2006 | PROVIDENCE, RI | |
B | 07/03/1995 - 02/21/2006 | BALTIMORE, MD | |
B | 03/28/1994 - 07/14/1995 | PURCHASE, NY |
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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.