Individual Firm
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MAURICIO RAMON DIEZ
CRD#: 1449515
IA
B
MORGAN STANLEYCRD#: 149777 200 South Biscayne Boulevard
Suite 1100
Miami, FL 33131
Suite 1100
Miami, FL 33131
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12/27/2011
Customer Dispute
Denied
11/29/2011
Customer Dispute
Denied
4/10/2002
Customer Dispute
Denied
State Registrations
B
Arizona 3/7/2016
B
Michigan 10/21/2016
B
California 10/3/2011
B
Minnesota 5/2/2016
B
Connecticut 1/30/2020
B
New York 10/3/2011
B
Delaware 4/5/2016
B
North Carolina 1/13/2016
B
District of Columbia 1/3/2020
B
Pennsylvania 12/13/2023
B
Florida 10/3/2011
B
Puerto Rico 3/2/2012
IA
Florida 10/24/2011
B
South Carolina 1/7/2025
B
Georgia 10/3/2011
B
South Dakota 9/13/2017
B
Illinois 3/23/2017
B
Texas 10/3/2011
B
Indiana 2/15/2022
IA
Texas 10/3/2011
B
Maine 5/31/2013
B
Wyoming 10/26/2022
B
Maryland 2/28/2024
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 10/3/2011
B
Registered with this firm since 10/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/05/1986 - 10/05/2011 | MIAMI, FL | |
B | 09/05/1986 - 10/05/2011 | MIAMI, FL | |
B | 04/29/1986 - 02/27/1987 |
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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.