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DEAN SAMUEL MOYA
CRD#: 1343894
IA
B
MORGAN STANLEYCRD#: 149777 227 West Monroe Street
Suite 3400
Chicago, IL 60606
Suite 3400
Chicago, IL 60606
0
Disclosures
39
Years of Experience
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State Registrations
B
Alabama 4/29/2022
B
Nebraska 2/20/2019
B
Alaska 4/29/2022
B
Nevada 2/20/2019
B
Arizona 5/11/2022
B
New Hampshire 5/25/2022
B
Arkansas 2/20/2019
B
New Jersey 5/25/2022
B
California 5/11/2022
B
New Mexico 2/20/2019
B
Colorado 5/11/2022
B
New York 8/8/2018
B
Connecticut 5/11/2022
B
North Carolina 2/20/2019
B
Delaware 5/11/2022
B
North Dakota 2/20/2019
B
District of Columbia 5/11/2022
B
Ohio 5/27/2022
B
Florida 1/6/2015
B
Oklahoma 5/25/2022
B
Georgia 2/20/2019
B
Oregon 5/25/2022
B
Hawaii 5/25/2022
B
Pennsylvania 5/25/2022
B
Idaho 5/25/2022
B
Puerto Rico 2/20/2019
B
Illinois 6/1/2009
B
Rhode Island 2/20/2019
IA
Illinois 6/1/2009
B
South Carolina 2/20/2019
B
Indiana 6/1/2009
B
South Dakota 2/20/2019
B
Iowa 5/25/2022
B
Tennessee 5/25/2022
B
Kansas 2/16/2018
B
Texas 2/20/2019
B
Kentucky 1/4/2022
IA
Texas 4/15/2020
B
Louisiana 5/25/2022
B
Utah 2/20/2019
B
Maine 5/25/2022
B
Vermont 5/25/2022
B
Maryland 3/29/2016
B
Virgin Islands 5/25/2022
B
Massachusetts 3/11/2019
B
Virginia 5/25/2022
B
Michigan 4/21/2017
B
Washington 2/20/2019
B
Minnesota 2/20/2019
B
West Virginia 5/25/2022
B
Mississippi 2/20/2019
B
Wisconsin 2/20/2019
B
Missouri 4/29/2022
B
Wyoming 5/25/2022
B
Montana 6/15/2021
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 | CHICAGO, IL | |
B | 04/02/2007 - 06/01/2009 | CHICAGO, IL | |
IA | 05/10/2006 - 04/02/2007 | CHICAGO, IL | |
B | 01/06/1988 - 04/02/2007 | CHICAGO, IL | |
B | 10/30/1986 - 05/07/1987 | ||
B | 05/30/1985 - 10/15/1986 |
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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.