Individual Firm
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MARIA TERESA MONTANEZ
MARIA TERESA MONTANEZ-MENDOZA
CRD#: 1335976
IA
B
MORGAN STANLEYCRD#: 149777 1775 I Street, North West
Suite 200
Washington, DC 20006
Suite 200
Washington, DC 20006
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4/27/1994
Customer Dispute
Settled
State Registrations
B
Alaska 1/29/2024
B
Mississippi 1/5/2024
B
Arizona 7/26/2017
B
Nevada 6/6/2011
B
California 6/1/2009
B
New Hampshire 6/1/2009
B
Colorado 6/1/2009
B
New Jersey 6/1/2009
B
Connecticut 9/15/2016
B
New Mexico 3/5/2021
B
Delaware 1/18/2024
B
New York 6/1/2009
B
District of Columbia 6/1/2009
B
North Carolina 12/20/2021
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District of Columbia 6/1/2009
B
Ohio 9/23/2014
B
Florida 6/1/2009
B
Oregon 9/22/2015
B
Georgia 7/26/2017
B
Pennsylvania 7/26/2017
B
Illinois 4/20/2017
B
Puerto Rico 1/15/2024
B
Indiana 1/10/2024
B
Rhode Island 1/4/2024
B
Louisiana 3/5/2021
B
South Carolina 4/18/2012
B
Maine 4/7/2021
B
Texas 7/26/2017
B
Maryland 6/1/2009
IA
Texas 4/8/2020
B
Massachusetts 6/21/2010
B
Virginia 6/1/2009
B
Michigan 7/27/2017
B
Washington 9/22/2015
B
Minnesota 7/31/2017
B
Wisconsin 1/4/2024
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 | 06/18/2007 - 06/01/2009 | WASHINGTON, DC | |
B | 06/08/2007 - 06/01/2009 | WASHINGTON, DC | |
IA | 02/05/1996 - 06/18/2007 | WASHINGTON, DC | |
B | 01/05/1996 - 06/18/2007 | WASHINGTON, DC | |
B | 02/21/1985 - 01/05/1996 | 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.
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.