Individual Firm
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KENT CHAPMAN GUERNSEY
CRD#: 1371793
IA
B
MORGAN STANLEYCRD#: 149777 55 Cascade Lane
Rehoboth Beach, DE 19971
Rehoboth Beach, DE 19971
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Customer Dispute
Settled
State Registrations
B
Arizona 6/1/2009
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Maryland 6/1/2009
B
California 6/1/2009
B
Michigan 6/1/2009
B
Connecticut 6/1/2009
B
New Jersey 6/1/2009
B
Delaware 6/26/2018
B
New York 6/1/2009
IA
Delaware 9/10/2018
B
North Carolina 6/1/2009
B
District of Columbia 6/1/2009
B
Pennsylvania 6/1/2009
B
Florida 6/1/2009
B
South Carolina 6/1/2009
B
Georgia 6/1/2009
B
Texas 9/29/2020
B
Indiana 1/8/2010
IA
Texas 10/5/2020
B
Iowa 10/8/2013
B
Virginia 6/1/2009
B
Maryland 6/1/2009
B
Wisconsin 6/1/2009
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/21/2006 - 06/01/2009 | ANNAPOLIS, MD | |
B | 02/21/2006 - 06/01/2009 | ANNAPOLIS, MD | |
IA | 02/20/1998 - 02/21/2006 | ANNAPOLIS, MD | |
B | 01/02/1990 - 02/21/2006 | BALTIMORE, MD | |
B | 07/06/1988 - 12/31/1989 | ||
B | 11/09/1987 - 07/05/1988 | ||
B | 06/21/1985 - 11/17/1987 |
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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.