Individual Firm
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CONSTANCE CHRISTINE FLYNN
CONNIE FLYNN
CRD#: 1577504
IA
B
MORGAN STANLEYCRD#: 149777 Tequesta, FL
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10/24/2017
Financial
Final
7/25/2017
Financial
Final
5/3/2017
Financial
Final
3/15/2017
Financial
Final
3/15/2017
Financial
Final
State Registrations
B
Florida 6/1/2009
B
Georgia 7/30/2018
IA
Florida 6/1/2009
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | JERSEY CITY, NJ | |
B | 04/02/2007 - 06/01/2009 | JERSEY CITY, NJ | |
IA | 03/11/1997 - 04/02/2007 | JERSEY CITY, NJ | |
B | 11/07/1996 - 04/02/2007 | JERSEY CITY, NJ | |
B | 05/01/1996 - 08/28/1996 | CHARLOTTE, NC | |
B | 08/03/1993 - 03/14/1994 | CHICAGO, IL | |
B | 03/23/1987 - 12/22/1993 | ||
B | 05/14/1992 - 08/04/1993 | CHARLOTTE, NC | |
B | 09/25/1990 - 12/11/1990 | IRVINE, CA | |
B | 08/22/1988 - 12/16/1988 | ||
B | 09/09/1987 - 01/14/1988 |
03/23/1987 - 12/22/1993
For additional information about investment advisers or broker-dealers, please visit
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.