Individual Firm
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WILLIAM DAVID LEVY
WILLIAM D LEVY
CRD#: 1536143
IA
B
MORGAN STANLEYCRD#: 149777 Boca Raton, FL
0
Disclosures
36
Years of Experience
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State Registrations
B
California 6/26/2015
B
Michigan 1/16/2025
B
Colorado 6/26/2015
B
New Jersey 6/26/2015
B
Connecticut 6/26/2015
IA
New Jersey 7/1/2015
IA
Connecticut 7/13/2015
B
New York 6/26/2015
B
Delaware 12/12/2023
IA
New York 6/6/2022
B
Florida 6/26/2015
B
North Carolina 6/26/2015
IA
Florida 3/5/2018
B
Ohio 6/26/2015
B
Georgia 6/26/2015
B
Pennsylvania 6/26/2015
B
Illinois 4/9/2020
B
South Carolina 6/26/2015
B
Kansas 6/26/2015
B
South Dakota 11/21/2019
B
Maryland 6/26/2015
B
Texas 6/26/2015
B
Massachusetts 6/26/2015
IA
Texas 6/26/2015
SRO Registrations
B
B
B
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/17/2012 - 07/07/2015 | NEW YORK, NY | |
B | 09/22/2008 - 07/07/2015 | NEW YORK, NY | |
B | 04/12/2002 - 09/22/2008 | NEW YORK, NY | |
B | 02/10/1994 - 04/05/2002 | NEW YORK, NY | |
B | 05/28/1992 - 02/22/1994 | NEW YORK, NY | |
B | 08/22/1989 - 05/12/1992 | BALTIMORE, MD | |
B | 04/13/1988 - 10/31/1988 | WEEHAWKEN, NJ |
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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.