Individual Firm
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JORGE ROBERTO GUERRA
CRD#: 1505056
IA
B
MORGAN STANLEYCRD#: 149777 101 West Broadway
Suite 1800
San Diego, CA 92101
Suite 1800
San Diego, CA 92101
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5/4/2010
Customer Dispute
Settled
2/19/2009
Customer Dispute
Denied
State Registrations
B
Arizona 6/1/2009
B
Michigan 11/14/2017
B
California 6/1/2009
B
New York 6/4/2024
IA
California 6/2/2009
B
South Dakota 11/29/2023
B
Colorado 5/30/2014
B
Texas 6/1/2009
B
Delaware 6/2/2014
IA
Texas 3/11/2020
B
Florida 9/19/2018
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 6/2/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/29/2009 - 07/16/2009 | SAN DIEGO, CA | |
B | 05/28/2009 - 07/16/2009 | SAN DIEGO, CA | |
IA | 07/08/1997 - 05/29/2009 | SAN DIEGO, CA | |
B | 09/20/1988 - 05/29/2009 | SAN DIEGO, CA | |
B | 10/29/1986 - 09/19/1988 | ||
B | 05/09/1986 - 10/09/1986 |
SAN DIEGO, CA
07/08/1997 - 05/29/2009
SAN DIEGO, CA
09/20/1988 - 05/29/2009
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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.