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Detailed Report
MARK THOMAS RATAY
CRD#: 1349470
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 7811 University Pointe Drive
Suite 100
Fort Myers, FL 33907
Registration History
1985199019952000200520102015202020252 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1990 - 2008 (18 years)BLEHMAN BROTHERS INC. (CRD# 7506)1987 - 1990 (3 years)BBLUNT ELLIS & LOEWI INCORPORATED (CRD# 7580)1985 - 1987 (2 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1998 - 2008 (10 years)
Disclosure(s)
View By:
10/28/1997
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 1/12/2021
B
Missouri 9/18/2024
B
Arizona 8/3/2012
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Mexico 4/12/2016
B
Colorado 6/1/2009
B
New York 8/19/2020
B
Connecticut 5/14/2020
B
North Carolina 11/18/2020
B
Florida 10/29/2015
B
Ohio 10/13/2021
IA
Florida 12/22/2021
B
Oregon 8/31/2017
B
Georgia 8/3/2021
B
Pennsylvania 9/22/2021
B
Illinois 6/1/2009
B
South Dakota 2/14/2025
IA
Illinois 6/1/2009
B
Tennessee 4/29/2021
B
Indiana 2/10/2016
B
Texas 11/2/2012
B
Iowa 6/1/2009
IA
Texas 4/2/2020
B
Kentucky 4/10/2017
B
Virginia 6/14/2024
B
Maryland 6/1/2009
B
Washington 2/16/2024
B
Massachusetts 6/1/2009
B
Wisconsin 6/1/2009
B
Michigan 6/1/2009

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
7811 University Pointe Drive Suite 100, Fort Myers, FL 33907
Geneva, IL
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
7811 University Pointe Drive Suite 100, Fort Myers, FL 33907
Geneva, IL
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/05/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) GENEVA, IL
B
 11/05/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) GENEVA, IL
IA
 02/17/1998 - 11/21/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) OAKBROOK TERRACE, IL
B
 11/12/1990 - 11/21/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) OAKBROOK TERRACE, IL
B
 09/18/1987 - 11/16/1990 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 03/20/1985 - 09/09/1987 BLUNT ELLIS & LOEWI INCORPORATED (CRD#:7580)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.