Individual Firm
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TODD LELAND BARLOW
CRD#: 1518250
IA
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MORGAN STANLEYCRD#: 149777 211 Fulton Street
Suite 500A
PEORIA, IL 61602
Suite 500A
PEORIA, IL 61602
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10/21/1996
Customer Dispute
Award / Judgment
State Registrations
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Arizona 1/22/2018
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Missouri 3/1/2023
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Arkansas 2/4/2025
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Nebraska 11/20/2023
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California 7/9/2012
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New Mexico 7/16/2020
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Colorado 6/1/2009
B
New York 12/18/2020
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Delaware 5/18/2020
B
Ohio 1/19/2018
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District of Columbia 1/7/2011
B
Oklahoma 4/27/2015
B
Florida 2/13/2017
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Oregon 9/8/2021
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Georgia 10/28/2016
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Pennsylvania 7/24/2024
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Illinois 6/1/2009
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Puerto Rico 10/20/2020
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Illinois 6/1/2009
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South Carolina 11/9/2021
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Indiana 6/1/2009
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Tennessee 3/5/2019
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Iowa 9/9/2010
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Texas 10/9/2012
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Kansas 10/14/2020
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Texas 4/2/2020
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Michigan 1/4/2016
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Utah 4/4/2019
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Mississippi 6/1/2009
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Washington 11/18/2011
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Missouri 6/1/2009
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Wisconsin 6/1/2009
SRO Registrations
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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 | 10/07/2002 - 06/01/2009 | PEORIA, IL | |
B | 08/03/2001 - 06/01/2009 | PEORIA, IL | |
B | 04/13/2000 - 08/29/2001 | ST. LOUIS, MO | |
B | 03/27/1996 - 11/29/1999 | TINTON FALLS, NJ | |
B | 05/25/1989 - 03/26/1996 | LOUISVILLE, KY | |
B | 08/19/1986 - 07/12/1988 |
TINTON FALLS, NJ
03/27/1996 - 11/29/1999
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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.