Individual Firm
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JEFFREY STUART COLE
CRD#: 1602829
IA
B
MORGAN STANLEYCRD#: 149777 Boynton Beach, FL
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3/14/1995
Customer Dispute
Award / Judgment
State Registrations
B
Alabama 2/14/2023
B
New Hampshire 6/1/2009
B
Arizona 6/1/2009
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New Mexico 3/25/2022
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Connecticut 6/1/2009
B
North Carolina 6/1/2009
B
Delaware 3/25/2015
B
Ohio 6/1/2009
B
District of Columbia 8/25/2022
B
Oklahoma 6/1/2009
B
Florida 6/1/2009
IA
Oklahoma 6/1/2009
IA
Florida 6/1/2009
B
Oregon 6/1/2009
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Illinois 3/31/2021
B
South Carolina 6/1/2009
B
Indiana 2/22/2011
B
Tennessee 9/4/2019
B
Kansas 12/7/2022
B
Texas 6/1/2009
B
Maryland 6/1/2009
IA
Texas 4/15/2020
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
Michigan 4/15/2021
B
Washington 9/16/2020
B
Montana 1/25/2021
B
West Virginia 1/28/2013
B
Nevada 1/11/2017
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 | 05/18/1994 - 06/01/2009 | PLANTATION, FL | |
B | 05/12/1994 - 06/01/2009 | PLANTATION, FL | |
B | 12/23/1986 - 05/11/1994 | 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.