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JOHN G TOFILON
CRD#: 1354314
IA
B
MORGAN STANLEYCRD#: 149777 760 West Main Street
Barrington, IL 60010
Barrington, IL 60010
View By:
10/30/2023
Customer Dispute
Settled
State Registrations
B
Alabama 6/1/2009
B
Montana 6/1/2009
B
Alaska 6/1/2009
B
Nebraska 6/1/2009
B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
Arkansas 6/1/2009
B
New Hampshire 6/1/2009
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 6/1/2009
B
New Mexico 6/1/2009
B
Connecticut 6/1/2009
B
New York 6/1/2009
B
Delaware 6/1/2009
B
North Carolina 6/1/2009
B
District of Columbia 2/25/2020
B
North Dakota 6/1/2009
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 6/1/2009
B
Oklahoma 6/1/2009
B
Hawaii 6/1/2009
B
Oregon 6/1/2009
B
Idaho 6/1/2009
B
Pennsylvania 6/1/2009
B
Illinois 6/1/2009
B
Rhode Island 6/1/2009
IA
Illinois 6/1/2009
B
South Carolina 6/1/2009
B
Indiana 6/1/2009
B
South Dakota 6/1/2009
B
Iowa 6/1/2009
B
Tennessee 6/1/2009
B
Kansas 6/1/2009
B
Texas 6/1/2009
B
Kentucky 6/1/2009
IA
Texas 6/1/2009
B
Louisiana 6/1/2009
B
Utah 6/1/2009
B
Maine 6/1/2009
B
Vermont 6/1/2009
B
Maryland 6/1/2009
B
Virginia 6/1/2009
B
Massachusetts 6/1/2009
B
Washington 6/1/2009
B
Michigan 6/1/2009
B
West Virginia 6/1/2009
B
Minnesota 6/1/2009
B
Wisconsin 6/1/2009
B
Mississippi 6/1/2009
B
Wyoming 6/1/2009
B
Missouri 6/1/2009
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered representatives
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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 | 06/04/2008 - 06/01/2009 | BARRINGTON, IL | |
B | 04/02/2007 - 06/01/2009 | BARRINGTON, IL | |
B | 01/22/2007 - 04/02/2007 | BARRINGTON, IL | |
B | 03/20/1985 - 01/23/2007 | CHICAGO, IL |
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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.