Individual Firm
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JOHN ERIC KIFFEL
CRD#: 1356955
IA
B
MORGAN STANLEYCRD#: 149777 1200 Franklin Avenue
2Nd Floor
Garden City, NY 11530
2Nd Floor
Garden City, NY 11530
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3/19/2012
Customer Dispute
Settled
5/14/2001
Customer Dispute
Settled
State Registrations
B
Alabama 3/21/2023
B
Nevada 6/1/2009
B
Arizona 11/17/2009
B
New Hampshire 6/1/2009
B
Arkansas 6/29/2021
B
New Jersey 6/1/2009
B
California 6/1/2009
IA
New Jersey 12/18/2017
B
Colorado 10/27/2020
B
New York 6/1/2009
B
Connecticut 6/1/2009
IA
New York 10/7/2021
B
Delaware 7/26/2021
B
North Carolina 6/1/2009
B
District of Columbia 2/14/2022
B
Ohio 7/2/2021
B
Florida 6/1/2009
B
Oregon 3/6/2020
B
Georgia 8/21/2020
B
Pennsylvania 6/1/2009
B
Hawaii 1/30/2024
B
Rhode Island 6/30/2021
B
Illinois 11/12/2015
B
South Carolina 6/30/2021
B
Iowa 8/6/2021
B
Tennessee 6/28/2021
B
Kansas 6/25/2021
B
Texas 1/3/2011
B
Maine 12/13/2022
IA
Texas 1/3/2011
B
Maryland 6/1/2009
B
Vermont 5/12/2020
B
Massachusetts 6/1/2009
B
Virgin Islands 2/6/2024
B
Michigan 11/1/2016
B
Virginia 6/1/2009
B
Minnesota 6/1/2009
B
Washington 2/12/2019
B
Missouri 6/1/2009
B
Wisconsin 8/5/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 1/3/2011
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 12/31/2010 | Garden City, NY | |
IA | 04/03/2009 - 06/01/2009 | GARDEN CITY, NY | |
B | 04/03/2009 - 06/01/2009 | GARDEN CITY, NY | |
IA | 09/19/2002 - 04/15/2009 | MITCHEL FIELD, NY | |
B | 07/13/1992 - 04/15/2009 | MITCHEL FIELD, NY | |
B | 04/23/1985 - 07/30/1992 | 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.