Individual Firm
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JOHN DAVID SZUCHAN
CRD#: 1300952
IA
B
MORGAN STANLEYCRD#: 149777 3800 Glenwood Avenue
Suite 500
RALEIGH, NC 27612
Suite 500
RALEIGH, NC 27612
0
Disclosures
40
Years of Experience
View By:
State Registrations
B
Arizona 6/1/2009
B
New York 11/3/2021
B
California 10/1/2021
B
North Carolina 6/1/2009
B
Colorado 2/18/2020
IA
North Carolina 6/1/2009
B
Connecticut 6/1/2009
B
South Carolina 12/20/2016
B
Florida 6/1/2009
B
Texas 6/9/2011
B
Georgia 6/1/2009
IA
Texas 4/23/2020
B
Louisiana 6/27/2024
B
Virginia 3/13/2014
B
Massachusetts 10/1/2021
SRO Registrations
B
B
B
B
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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 | 04/02/2007 - 06/01/2009 | CHAPEL HILL, NC | |
B | 04/02/2007 - 06/01/2009 | CHAPEL HILL, NC | |
IA | 12/31/2001 - 04/02/2007 | DURHAM, NC | |
B | 09/24/1984 - 04/02/2007 | DURHAM, NC |
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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.