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MICHAEL WAYNE SOSNOW
MICHAEL SOSNOW
CRD#: 1508945
IA
B
MORGAN STANLEYCRD#: 149777 1400 Page Mill Road
Palo Alto, CA 94304
Palo Alto, CA 94304
0
Disclosures
28
Years of Experience
View By:
State Registrations
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Arizona 4/30/2019
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Nevada 6/1/2009
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Arkansas 12/14/2015
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New Jersey 6/19/2020
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California 6/1/2009
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New York 6/1/2009
IA
California 6/1/2009
B
North Carolina 6/1/2009
B
Colorado 6/1/2009
B
Ohio 6/1/2009
B
Connecticut 6/1/2009
B
Oregon 6/1/2009
B
Florida 6/1/2009
B
Pennsylvania 6/1/2009
B
Georgia 6/1/2009
B
South Carolina 10/21/2024
B
Hawaii 9/13/2021
B
South Dakota 6/1/2018
B
Illinois 11/4/2020
B
Tennessee 6/1/2009
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Kansas 6/1/2009
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Texas 6/1/2009
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Maryland 7/20/2020
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Texas 2/26/2013
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Massachusetts 6/1/2009
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Utah 4/4/2024
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Michigan 6/1/2009
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Virginia 6/1/2009
B
Minnesota 6/1/2009
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Washington 6/1/2009
B
Montana 6/1/2009
B
Wisconsin 6/1/2009
SRO Registrations
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IA
Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/25/2008 - 06/01/2009 | PALO ALTO, CA | |
B | 05/12/2006 - 06/01/2009 | PALO ALTO, CA | |
B | 06/11/2003 - 02/07/2006 | SAN FRANCISCO, CA | |
B | 09/07/2000 - 03/06/2003 | NEW YORK, NY | |
B | 05/02/1996 - 08/22/2000 | SAN FRANCISCO, CA |
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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.