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ERIC LEON APPLEWHITE III
RIC APPLEWHITE
CRD#: 1452461
IA
B
MORGAN STANLEYCRD#: 149777 595 South Federal Highway
Suite 400
Boca Raton, FL 33432
Suite 400
Boca Raton, FL 33432
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11/11/2002
Customer Dispute
Denied
8/5/2002
Customer Dispute
Denied
3/26/2002
Customer Dispute
Denied
State Registrations
B
Alabama 6/1/2009
B
Nebraska 2/2/2022
B
Arizona 7/24/2012
B
Nevada 6/1/2009
B
Arkansas 4/27/2015
B
New Hampshire 1/2/2014
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 6/1/2009
B
New Mexico 6/1/2009
B
Connecticut 6/1/2009
B
New York 6/1/2009
B
Delaware 6/11/2013
B
North Carolina 6/1/2009
B
District of Columbia 8/18/2009
B
North Dakota 11/9/2017
B
Florida 6/1/2009
B
Ohio 6/1/2009
IA
Florida 6/1/2009
B
Oklahoma 12/20/2023
B
Georgia 6/1/2009
B
Oregon 6/1/2009
B
Hawaii 11/9/2017
B
Pennsylvania 6/1/2009
B
Idaho 1/11/2013
B
Puerto Rico 1/13/2021
B
Illinois 6/1/2009
B
Rhode Island 1/26/2016
B
Indiana 6/1/2009
B
South Carolina 6/1/2009
B
Iowa 1/22/2015
B
South Dakota 11/9/2017
B
Kansas 6/1/2009
B
Tennessee 5/11/2010
B
Kentucky 11/9/2017
B
Texas 6/1/2009
B
Louisiana 6/1/2009
IA
Texas 4/23/2020
B
Maine 8/31/2009
B
Utah 6/1/2009
B
Maryland 6/1/2009
B
Vermont 11/9/2017
B
Massachusetts 6/1/2009
B
Virgin Islands 1/31/2013
B
Michigan 6/1/2009
B
Virginia 6/1/2009
B
Minnesota 6/1/2009
B
Washington 6/1/2009
B
Mississippi 2/2/2022
B
West Virginia 6/1/2009
B
Missouri 6/1/2009
B
Wisconsin 6/1/2009
B
Montana 6/1/2009
B
Wyoming 3/8/2024
SRO Registrations
B
B
B
B
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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 | 04/17/1991 - 06/01/2009 | BOCA RATON, FL | |
B | 08/16/1990 - 06/01/2009 | BOCA RATON, FL | |
B | 09/30/1988 - 08/21/1990 | ||
B | 05/15/1987 - 10/10/1988 | ||
B | 04/25/1986 - 05/27/1987 |
09/30/1988 - 08/21/1990
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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.
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