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Detailed Report
RICHARD L SHOLTY JR
CRD#: 1396531
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 100 Wilshire Boulevard
Suite 1900
Santa Monica, CA 90401
Registration History
1985199019952000200520102015202020252 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - Present (13 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)1999 - 2009 (10 years)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1994 - 1999 (4 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)1994 - 1994 (<1 year)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1992 - 1994 (1 year)BGNA SECURITIES, INC. (CRD# 10465)1987 - 1992 (4 years)BAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)1986 - 1987 (1 year)BBARABAN SECURITIES, INC. (CRD# 7659)1985 - 1986 (<1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)1998 - 2009 (11 years)
Disclosure(s)
View By:
2/24/2016
Customer Dispute
Settled
4/5/2011
Customer Dispute
Settled
10/18/2001
Customer Dispute
Settled
7/31/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Alaska 5/1/2012
B
Missouri 1/17/2025
B
Arizona 6/6/2017
B
Nevada 4/27/2012
B
Arkansas 1/22/2025
B
New Jersey 4/27/2012
B
California 4/27/2012
B
New York 8/1/2018
IA
California 4/27/2012
B
Ohio 6/6/2017
B
Colorado 1/5/2022
B
Oklahoma 10/27/2014
B
Connecticut 1/13/2023
B
Oregon 12/2/2021
B
Florida 6/6/2017
B
Pennsylvania 6/2/2017
B
Georgia 1/21/2025
B
Tennessee 4/16/2021
B
Idaho 1/17/2025
B
Texas 4/27/2012
B
Illinois 1/19/2023
IA
Texas 5/1/2012
B
Indiana 1/17/2025
B
Utah 8/16/2017
B
Iowa 9/13/2013
B
Virginia 4/27/2012
B
Maryland 1/17/2025
B
Washington 6/6/2017
B
Massachusetts 12/19/2017
B
Wisconsin 6/2/2017
B
Minnesota 1/21/2025

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)
100 Wilshire Boulevard Suite 1900, Santa Monica, CA 90401
Registered with this firm since 4/27/2012
B
MORGAN STANLEY (CRD#:149777)
100 Wilshire Boulevard Suite 1900, Santa Monica, CA 90401
Registered with this firm since 4/27/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/23/2009 - 05/03/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SANTA MONICA, CA
B
 10/23/2009 - 05/03/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SANTA MONICA, CA
IA
 05/12/1998 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BEVERLY HILLS, CA
B
 07/12/1999 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BEVERLY HILLS, CA
B
 09/29/1994 - 07/12/1999 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
B
 04/13/1994 - 10/07/1994 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
 05/30/1992 - 04/25/1994 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
B
 11/03/1987 - 06/30/1992 GNA SECURITIES, INC. (CRD#:10465) GLEN ALLEN, VA
B
 02/22/1986 - 12/01/1987 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363)
B
 08/21/1985 - 02/14/1986 BARABAN SECURITIES, INC. (CRD#:7659)
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.