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Detailed Report
WILLIAM RANDAL LAVERTY
RANDAL W LAVERTY, RANDALL W LAVERTY, W RANDY LAVERTY
CRD#: 1392147
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 159 Crocker Park Boulevard
Suite 460
Westlake, OH 44145
Registration History
1985199019952000200520102015202020252 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2006 (13 years)BLEHMAN BROTHERS INC. (CRD# 7506)1989 - 1993 (3 years)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1988 - 1989 (1 year)BE. F. HUTTON & COMPANY INC (CRD# 235)1987 - 1988 (<1 year)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1985 - 1987 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2000 - 2006 (6 years)
License(s)

State Registrations

B
Arizona 4/18/2024
B
Ohio 6/1/2009
B
California 6/1/2009
IA
Ohio 6/1/2009
B
Connecticut 6/1/2009
B
Oregon 1/4/2023
B
Florida 1/16/2018
B
South Carolina 8/5/2011
B
Illinois 11/27/2019
B
Texas 6/1/2009
B
Indiana 2/25/2010
IA
Texas 6/1/2009
B
Michigan 6/1/2009
B
Washington 9/3/2024
B
New York 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)
159 Crocker Park Boulevard Suite 460, Westlake, OH 44145
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
159 Crocker Park Boulevard Suite 460, Westlake, OH 44145
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WESTLAKE, OH
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WESTLAKE, OH
IA
 11/13/2006 - 04/02/2007 MORGAN STANLEY (CRD#:7556) WESTLAKE, OH
B
 11/10/2006 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) WESTLAKE, OH
IA
 05/11/2000 - 11/24/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WESTLAKE, OH
B
 07/31/1993 - 11/24/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WESTLAKE, OH
B
 12/22/1989 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 02/15/1988 - 05/04/1989 SHEARSON LEHMAN HUTTON INC. (CRD#:7506) NEW YORK, NY
B
 05/18/1987 - 02/15/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
 07/24/1985 - 06/01/1987 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059)
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.