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JAMES BRANDON SCHLUETER
CRD#: 1310965
IA
B
MORGAN STANLEYCRD#: 149777 555 California Street
PWM
San Francisco, CA 94104
PWM
San Francisco, CA 94104
0
Disclosures
40
Years of Experience
View By:
State Registrations
B
Alabama 2/6/2019
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Nebraska 8/16/2011
B
Alaska 12/21/2022
B
Nevada 8/16/2011
B
Arizona 8/16/2011
B
New Hampshire 8/16/2011
B
Arkansas 12/21/2022
B
New Jersey 8/16/2011
B
California 6/1/2009
B
New Mexico 8/16/2011
IA
California 6/1/2009
B
New York 8/16/2011
B
Colorado 8/16/2011
B
North Carolina 8/16/2011
B
Connecticut 8/16/2011
B
North Dakota 12/21/2022
B
Delaware 8/16/2011
B
Ohio 8/16/2011
B
District of Columbia 12/21/2022
B
Oklahoma 12/21/2022
B
Florida 8/16/2011
B
Oregon 8/16/2011
B
Georgia 8/16/2011
B
Pennsylvania 8/16/2011
B
Hawaii 8/16/2011
B
Puerto Rico 12/21/2022
B
Idaho 8/16/2011
B
Rhode Island 8/16/2011
B
Illinois 8/16/2011
B
South Carolina 8/16/2011
B
Indiana 8/16/2011
B
South Dakota 12/15/2021
B
Iowa 8/16/2011
B
Tennessee 8/16/2011
B
Kansas 8/16/2011
B
Texas 8/16/2011
B
Kentucky 8/16/2011
IA
Texas 8/16/2011
B
Louisiana 12/21/2022
B
Utah 8/16/2011
B
Maine 8/16/2011
B
Vermont 5/11/2018
B
Maryland 4/15/2014
B
Virgin Islands 12/21/2022
B
Massachusetts 8/16/2011
B
Virginia 8/16/2011
B
Michigan 8/16/2011
B
Washington 8/16/2011
B
Minnesota 7/10/2019
B
West Virginia 12/21/2022
B
Mississippi 12/21/2022
B
Wisconsin 12/21/2022
B
Missouri 8/16/2011
B
Wyoming 8/16/2011
B
Montana 12/21/2022
SRO Registrations
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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 | 07/08/1997 - 06/01/2009 | SAN FRANCISCO, CA | |
B | 10/26/1984 - 06/01/2009 | SAN FRANCISCO, CA | |
B | 10/25/1984 - 11/03/1995 |
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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.