Individual Firm
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GREGORY SCOTT SIMON
CRD#: 1294524
IA
B
MORGAN STANLEYCRD#: 149777 10960 Wilshire Boulevard
Suite 2000
Los Angeles, CA 90024
Suite 2000
Los Angeles, CA 90024
View By:
9/12/2000
Customer Dispute
Denied
State Registrations
B
Alabama 11/18/2014
B
Montana 2/22/2013
B
Alaska 11/18/2014
B
Nebraska 11/18/2014
B
Arizona 11/18/2014
B
Nevada 1/11/2011
B
Arkansas 11/18/2014
B
New Hampshire 6/30/2011
B
California 6/1/2009
B
New Jersey 6/1/2009
IA
California 6/1/2009
B
New Mexico 11/18/2014
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Connecticut 11/18/2014
B
North Carolina 6/1/2009
B
Delaware 11/18/2014
B
North Dakota 11/18/2014
B
District of Columbia 7/15/2015
B
Ohio 11/19/2014
B
Florida 6/1/2009
B
Oklahoma 11/18/2014
B
Georgia 11/18/2014
B
Oregon 6/1/2009
B
Hawaii 4/28/2011
B
Pennsylvania 11/18/2014
IA
Hawaii 12/19/2024
B
Puerto Rico 12/5/2014
B
Idaho 4/21/2011
B
Rhode Island 11/18/2014
B
Illinois 6/1/2009
B
South Carolina 6/1/2009
B
Indiana 11/18/2014
B
South Dakota 11/18/2014
B
Iowa 9/22/2010
B
Tennessee 6/1/2009
B
Kansas 11/18/2014
B
Texas 6/1/2009
B
Kentucky 11/18/2014
IA
Texas 3/3/2020
B
Louisiana 11/18/2014
B
Utah 11/18/2014
B
Maine 4/9/2012
B
Vermont 11/18/2014
B
Maryland 6/1/2009
B
Virginia 6/1/2009
B
Massachusetts 6/1/2009
B
Washington 6/1/2009
B
Michigan 11/18/2014
B
West Virginia 11/18/2014
B
Minnesota 2/9/2010
B
Wisconsin 6/23/2011
B
Mississippi 11/18/2014
B
Wyoming 11/18/2014
B
Missouri 11/18/2014
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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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 | 06/11/2003 - 06/01/2009 | LOS ANGELES, CA | |
B | 06/11/2003 - 06/01/2009 | LOS ANGELES, CA | |
IA | 04/15/2003 - 06/25/2003 | NEW YORK, NY | |
B | 01/03/2003 - 06/13/2003 | NEW YORK, NY | |
IA | 01/03/2003 - 04/15/2003 | LOS ANGELES, CA | |
IA | 07/08/1997 - 01/03/2003 | LOS ANGELES, CA | |
B | 01/16/1990 - 01/03/2003 | NEW YORK, NY | |
B | 08/21/1984 - 02/08/1990 | NEW YORK, 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.
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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.
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