Individual Firm
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CATHERINE LEIGH JOYCE
CATHERINE LEIGH MACHEN
CRD#: 1395726
IA
B
MORGAN STANLEYCRD#: 149777 1747 Pennsylvania Avenue NW
Washington, DC 20006
Washington, DC 20006
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1/21/2004
Customer Dispute
Denied
State Registrations
B
Alabama 6/1/2009
B
New Hampshire 1/10/2025
B
Arizona 5/15/2012
B
New Jersey 5/21/2012
B
California 6/1/2009
B
New Mexico 2/11/2025
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Delaware 6/14/2010
B
North Carolina 6/1/2009
B
District of Columbia 6/1/2009
B
Ohio 5/21/2012
IA
District of Columbia 6/1/2009
B
Oregon 2/4/2015
B
Florida 6/1/2009
B
Pennsylvania 1/7/2025
B
Georgia 5/15/2012
B
Rhode Island 3/3/2016
B
Idaho 6/1/2009
B
South Carolina 2/8/2013
B
Illinois 6/1/2009
B
Texas 5/21/2012
B
Maine 8/4/2022
IA
Texas 11/13/2018
B
Maryland 6/1/2009
B
Virginia 6/1/2009
IA
Maryland 9/14/2023
IA
Virginia 2/15/2022
B
Massachusetts 6/1/2009
B
Washington 6/1/2021
B
Michigan 2/24/2021
B
West Virginia 11/5/2019
B
Nevada 2/7/2018
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
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 | 08/29/2008 - 06/01/2009 | WASHINGTON, DC | |
B | 08/29/2008 - 06/01/2009 | WASHINGTON, DC | |
IA | 02/13/1994 - 09/15/2008 | WASHINGTON, DC | |
B | 02/16/1993 - 09/15/2008 | WASHINGTON, DC | |
B | 07/23/1986 - 02/18/1993 | 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.