Individual Firm
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CHARLES KNOX LINCOLN II
CRD#: 1557031
IA
B
MORGAN STANLEYCRD#: 149777 2200 North Rodney Parham Road
Suite 100
Little Rock, AR 72212
Suite 100
Little Rock, AR 72212
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1/1/1990
Regulatory
Final
State Registrations
B
Arkansas 6/1/2009
B
Missouri 6/1/2009
IA
Arkansas 6/1/2009
B
Montana 8/22/2013
B
California 8/19/2009
B
Nevada 8/24/2009
B
Colorado 6/1/2009
B
New Jersey 6/1/2009
B
District of Columbia 9/14/2010
B
New Mexico 6/1/2009
B
Florida 6/1/2009
B
Ohio 8/30/2010
B
Georgia 6/1/2009
B
Oklahoma 9/17/2010
B
Illinois 2/2/2012
B
Oregon 10/14/2011
B
Iowa 10/19/2021
B
Tennessee 6/1/2009
B
Kansas 6/1/2009
B
Texas 6/1/2009
B
Kentucky 7/21/2020
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Texas 4/8/2020
B
Louisiana 9/8/2010
B
Virginia 6/1/2009
B
Mississippi 7/7/2011
B
Washington 7/13/2017
SRO Registrations
B
B
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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 | 04/11/1994 - 06/01/2009 | LITTLE ROCK, AR | |
B | 01/27/1994 - 06/01/2009 | LITTLE ROCK, AR | |
B | 07/13/1987 - 01/12/1994 | NEW YORK, NY | |
B | 09/26/1986 - 06/25/1987 |
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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.