Individual Firm
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MICHAEL ROBERT WOODS
CRD#: 1600470
IA
B
MORGAN STANLEYCRD#: 149777 1080 Jordan Creek Parkway
West Des Moines, IA 50266
West Des Moines, IA 50266
View By:
12/14/2012
Customer Dispute
Denied
State Registrations
B
Alabama 6/1/2009
B
Nebraska 6/1/2009
B
Arizona 6/1/2009
B
Nevada 9/12/2016
B
Arkansas 3/4/2014
B
New Hampshire 6/10/2022
B
California 6/1/2009
B
New Jersey 5/18/2022
B
Colorado 6/1/2009
B
New York 1/25/2021
B
Delaware 6/1/2009
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 1/13/2023
B
Oklahoma 2/10/2021
B
Illinois 6/1/2009
B
Oregon 3/5/2014
B
Iowa 6/1/2009
B
Pennsylvania 6/1/2009
IA
Iowa 6/1/2009
B
Rhode Island 2/10/2021
B
Kansas 6/1/2009
B
South Carolina 6/1/2009
B
Kentucky 3/4/2014
B
South Dakota 6/1/2009
B
Maine 9/20/2022
B
Tennessee 7/7/2023
B
Maryland 6/1/2009
B
Texas 6/1/2009
B
Massachusetts 2/6/2018
IA
Texas 6/1/2009
B
Michigan 6/1/2009
B
Utah 5/13/2022
B
Minnesota 6/1/2009
B
Virginia 6/1/2009
B
Mississippi 6/1/2009
B
Washington 6/1/2009
B
Missouri 6/1/2009
B
Wisconsin 6/1/2009
B
Montana 2/10/2021
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered principals
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 | 04/02/2007 - 06/01/2009 | WEST DES MOINES, IA | |
B | 04/02/2007 - 06/01/2009 | WEST DES MOINES, IA | |
IA | 01/01/1999 - 04/02/2007 | WEST DES MOINES, IA | |
B | 04/26/1988 - 04/02/2007 | WEST DES MOINES, IA | |
B | 01/21/1987 - 05/18/1988 |
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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.