Individual Firm
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GARY WAYNE ASHBY
CRD#: 1575164
IA
B
MORGAN STANLEYCRD#: 149777 4401 82ND STREET
LUBBOCK, TX 79424
LUBBOCK, TX 79424
0
Disclosures
38
Years of Experience
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State Registrations
B
California 6/1/2009
B
Nebraska 11/22/2024
B
Colorado 6/1/2009
B
New York 9/9/2021
B
Florida 5/24/2012
B
Oklahoma 6/1/2009
B
Kansas 2/8/2024
IA
Oklahoma 6/1/2009
B
Louisiana 5/31/2019
B
Texas 6/1/2009
B
Massachusetts 4/11/2019
IA
Texas 6/1/2009
B
Michigan 4/29/2019
B
Virginia 9/13/2023
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/03/1998 - 06/01/2009 | LUBBOCK, TX | |
B | 08/03/1998 - 06/01/2009 | LUBBOCK, TX | |
B | 12/26/1986 - 08/06/1998 | NEW YORK, NY |
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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.