Individual Firm
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FRANCIS JOSEPH DOLAN
FRANK DOLAN
CRD#: 1456000
IA
B
MORGAN STANLEYCRD#: 149777 700 Main Street
Suite 315
Napa, CA 94559
Suite 315
Napa, CA 94559
View By:
1/25/2010
Customer Dispute
Denied
7/25/2007
Customer Dispute
Denied
State Registrations
B
Alabama 3/12/2021
B
North Carolina 3/12/2021
B
Arizona 3/12/2021
B
Oregon 3/12/2021
B
California 3/12/2021
B
Pennsylvania 9/25/2023
IA
California 3/12/2021
B
Rhode Island 3/12/2021
B
Colorado 3/12/2021
B
South Dakota 3/12/2021
B
Florida 6/25/2024
B
Tennessee 3/19/2024
B
Hawaii 3/15/2021
B
Texas 3/12/2021
B
Idaho 3/12/2021
IA
Texas 3/12/2021
B
Nevada 3/12/2021
B
Washington 3/12/2021
B
New Jersey 3/12/2021
B
Wisconsin 3/12/2021
B
New York 10/24/2023
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 3/12/2021
B
Registered with this firm since 3/12/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/23/2009 - 03/16/2021 | NAPA, CA | |
B | 10/23/2009 - 03/16/2021 | NAPA, CA | |
IA | 09/21/1998 - 10/23/2009 | NAPA, CA | |
B | 07/12/1999 - 10/23/2009 | NAPA, CA | |
B | 09/26/1995 - 07/12/1999 | OAKLAND, CA | |
B | 12/13/1993 - 12/31/1994 | ||
B | 07/09/1992 - 12/14/1993 | GLENDALE, CA | |
B | 11/27/1990 - 07/01/1992 | LITTLE ROCK, AR | |
B | 08/04/1989 - 12/03/1990 | OAKLAND, CA | |
B | 05/14/1987 - 11/30/1988 |
For additional information about investment advisers or broker-dealers, please visit
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.