Individual Firm
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ERIK KIMBALL FORS
ERIC KIMBALL FORS
CRD#: 1389574
IA
B
MORGAN STANLEYCRD#: 149777 Hollywood, FL
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6/10/2009
Customer Dispute
Denied
State Registrations
B
Alaska 6/1/2009
B
Nebraska 6/22/2020
B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Jersey 6/28/2013
B
Colorado 3/30/2017
B
New Mexico 6/1/2009
B
Connecticut 6/1/2009
B
New York 6/1/2009
B
Florida 6/1/2009
B
North Carolina 7/16/2019
IA
Florida 11/2/2021
B
North Dakota 8/24/2022
B
Georgia 6/1/2009
B
Ohio 6/1/2009
B
Hawaii 6/1/2009
B
Oregon 6/1/2009
B
Illinois 6/1/2009
B
South Carolina 6/1/2009
B
Iowa 6/1/2009
B
South Dakota 6/1/2009
IA
Iowa 6/1/2009
B
Texas 6/1/2009
B
Kansas 12/6/2017
IA
Texas 6/1/2009
B
Maryland 8/9/2018
B
Utah 8/13/2020
B
Massachusetts 6/1/2009
B
Virginia 6/21/2022
B
Michigan 6/1/2009
B
Washington 6/1/2009
B
Minnesota 6/1/2009
B
West Virginia 6/1/2009
IA
Minnesota 11/19/2013
B
Wisconsin 6/1/2009
B
Mississippi 8/14/2019
B
Wyoming 5/22/2023
B
Missouri 6/1/2009
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | MINNEAPOLIS, MN | |
B | 04/02/2007 - 06/01/2009 | MINNEAPOLIS, MN | |
IA | 03/20/2007 - 04/02/2007 | MINNEAPOLIS, MN | |
B | 03/09/2007 - 04/02/2007 | MINNEAPOLIS, MN | |
B | 02/09/2001 - 03/22/2007 | SHOREVIEW, MN | |
B | 07/01/1994 - 02/23/2001 | MINNEAPOLIS, MN | |
B | 08/20/1990 - 07/05/1994 | WEEHAWKEN, NJ | |
B | 05/01/1989 - 09/11/1990 | NEW YORK, NY | |
B | 11/25/1987 - 06/06/1989 |
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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.