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PATRICK GARRETT HARTLEY
PATRICK G HARTLEY
CRD#: 1487426
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MORGAN STANLEYCRD#: 149777 6340 Quadrangle Drive
Suite 300
CHAPEL HILL, NC 27517
Suite 300
CHAPEL HILL, NC 27517
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Disclosures
34
Years of Experience
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State Registrations
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Arizona 5/17/2016
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Nevada 6/9/2020
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Arkansas 8/25/2017
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New Hampshire 3/14/2024
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California 5/17/2016
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New Jersey 4/5/2013
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Colorado 5/17/2016
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New York 1/10/2012
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Connecticut 2/29/2012
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North Carolina 9/20/2011
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Delaware 5/17/2016
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North Carolina 10/10/2011
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District of Columbia 4/10/2013
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Ohio 9/8/2019
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Florida 1/4/2012
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Oklahoma 5/17/2016
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Georgia 5/31/2013
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Oregon 3/3/2021
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Hawaii 3/14/2024
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Pennsylvania 9/27/2017
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Illinois 11/12/2015
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Puerto Rico 11/1/2021
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Iowa 8/25/2017
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South Carolina 12/2/2011
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Kansas 5/17/2016
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South Dakota 3/7/2022
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Kentucky 3/15/2021
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Tennessee 5/17/2016
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Louisiana 5/17/2016
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Texas 5/17/2016
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Maine 10/15/2019
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Texas 4/23/2020
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Maryland 6/18/2018
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Utah 6/20/2019
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Massachusetts 8/4/2021
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Vermont 3/14/2024
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Michigan 8/1/2022
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Virginia 8/26/2014
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Minnesota 6/17/2020
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Washington 9/26/2017
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Mississippi 6/5/2020
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West Virginia 8/10/2022
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Missouri 8/25/2017
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Wisconsin 8/24/2022
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Nebraska 8/25/2017
SRO Registrations
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Registered with this firm since 10/10/2011
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Registered with this firm since 9/19/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/15/2007 - 08/09/2011 | DURHAM, NC | |
B | 12/01/2005 - 05/10/2007 | CHAPEL HILL, NC | |
B | 10/24/1994 - 12/01/2005 | MINNEAPOLIS, MN | |
B | 08/05/1992 - 10/07/1994 | ARLINGTON, VA | |
B | 07/20/1988 - 04/05/1990 | WASHINGTON, DC |
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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.
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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.