Individual Firm
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Robert Jarvis
CRD#: 1585921
IA
B
MORGAN STANLEYCRD#: 149777 9665 Wilshire Boulevard
Suite 600
Beverly Hills, CA 90212
Suite 600
Beverly Hills, CA 90212
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10/23/2018
Customer Dispute
Closed-No Action
1/11/2001
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 10/1/2021
B
New Jersey 10/1/2021
B
California 10/1/2021
B
New Mexico 10/1/2021
IA
California 10/4/2021
B
New York 10/1/2021
B
Colorado 10/1/2021
B
Ohio 2/2/2024
B
Iowa 1/17/2024
B
Oklahoma 2/21/2025
B
Kentucky 10/1/2021
B
Oregon 10/1/2021
B
Massachusetts 10/1/2021
B
Pennsylvania 10/1/2021
B
Minnesota 10/6/2021
B
Tennessee 1/19/2024
B
Montana 2/4/2025
B
Texas 10/1/2021
B
Nevada 10/1/2021
IA
Texas 10/1/2021
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 10/1/2021
B
Registered with this firm since 10/1/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/20/1991 - 10/04/2021 | LOS ANGELES, CA | |
B | 02/20/1991 - 10/04/2021 | LOS ANGELES, CA | |
B | 01/19/1990 - 03/04/1991 | NEW YORK, NY | |
B | 12/26/1986 - 01/31/1990 | NEW YORK, NY |
LOS ANGELES, CA
02/20/1991 - 10/04/2021
LOS ANGELES, CA
02/20/1991 - 10/04/2021
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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.