Individual Firm
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JAMES HAROLD BURK
James Burk
CRD#: 1326966
IA
B
MORGAN STANLEYCRD#: 149777 3280 Peachtree Road North East
Suite1600
Atlanta, GA 30305
Suite1600
Atlanta, GA 30305
View By:
11/24/2015
Customer Dispute
Denied
State Registrations
B
Arkansas 5/1/2020
B
New York 3/3/2020
B
California 3/3/2020
B
North Carolina 3/3/2020
B
Colorado 3/3/2020
B
Ohio 6/9/2020
B
Connecticut 3/3/2020
B
Oregon 3/3/2020
B
Florida 3/3/2020
B
Pennsylvania 3/3/2020
B
Georgia 3/3/2020
B
Puerto Rico 3/3/2020
IA
Georgia 3/3/2020
B
South Carolina 3/3/2020
B
Illinois 3/3/2020
B
Tennessee 3/3/2020
B
Kentucky 3/3/2020
IA
Texas 3/2/2020
B
Louisiana 12/6/2021
B
Texas 3/3/2020
B
Maine 11/28/2023
B
Utah 3/3/2020
B
Maryland 3/3/2020
B
Virginia 3/3/2020
B
Massachusetts 3/3/2020
B
Wisconsin 10/24/2023
B
Michigan 7/21/2020
B
Wyoming 3/3/2020
B
Minnesota 3/3/2020
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 3/2/2020
B
Registered with this firm since 3/2/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/12/2008 - 03/27/2020 | ATLANTA, GA | |
B | 12/12/2008 - 03/27/2020 | ATLANTA, GA | |
IA | 04/02/2007 - 12/15/2008 | ATLANTA, GA | |
B | 04/02/2007 - 12/15/2008 | ATLANTA, GA | |
IA | 03/26/2003 - 04/02/2007 | ATLANTA, GA | |
B | 11/19/1999 - 04/02/2007 | ATLANTA, GA | |
B | 07/28/1995 - 11/23/1999 | NEW YORK, NY | |
B | 01/23/1985 - 08/07/1995 | WEEHAWKEN, NJ |
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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.