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Detailed Report
STEVEN EDWARD FISHMAN
CRD#: 1500802
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Lighthouse Point, FL
Registration History
199019952000200520102015202020252 FIRMS1993 - 2006 (12 years)2 FIRMS2006 - 2007 (1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1987 - 1988 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1986 - 1987 (1 year)
License(s)

State Registrations

B
Alabama 10/27/2016
B
Missouri 9/6/2018
B
Arizona 9/6/2018
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Hampshire 9/6/2018
B
Colorado 6/1/2009
B
New Jersey 5/24/2018
B
Connecticut 6/1/2009
B
New Mexico 7/21/2023
B
District of Columbia 12/17/2009
B
New York 6/1/2009
B
Florida 6/1/2009
B
North Carolina 6/1/2009
IA
Florida 6/1/2009
B
Ohio 9/6/2018
B
Georgia 6/1/2009
B
Oklahoma 3/16/2023
B
Hawaii 9/6/2018
B
Oregon 9/6/2018
B
Idaho 11/9/2009
B
Pennsylvania 6/1/2009
B
Illinois 6/1/2009
B
Rhode Island 6/1/2009
B
Indiana 9/6/2018
B
South Carolina 6/1/2009
B
Iowa 9/6/2018
B
Tennessee 6/1/2009
B
Kansas 2/2/2024
B
Texas 5/4/2010
B
Kentucky 10/27/2016
IA
Texas 5/26/2010
B
Louisiana 4/17/2020
B
Utah 1/27/2015
B
Maine 1/10/2020
B
Vermont 1/21/2020
B
Maryland 6/1/2009
B
Virginia 3/1/2017
B
Massachusetts 6/1/2009
B
Washington 9/6/2018
B
Michigan 8/1/2017
B
West Virginia 9/6/2018
B
Minnesota 2/5/2013
B
Wisconsin 8/11/2022
B
Mississippi 9/6/2018

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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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)
Lighthouse Point, FL
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
Lighthouse Point, FL
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) FT. LAUDERDALE, FL
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) FT. LAUDERDALE, FL
IA
 02/21/2006 - 04/02/2007 MORGAN STANLEY (CRD#:7556) FT. LAUDERDALE, FL
B
 02/17/2006 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) FT. LAUDERDALE, FL
IA
 07/31/1993 - 03/04/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) FORT LAUDERDALE, FL
B
 07/31/1993 - 03/04/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) FORT LAUDERDALE, FL
B
 04/11/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 10/16/1987 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
 05/22/1986 - 10/26/1987 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
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.