Individual Firm
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AMIE BETH PARRISH
CRD#: 1656300
IA
B
MORGAN STANLEYCRD#: 149777 1332 Anacapa Street
2nd Floor
Santa Barbara, CA 93101
2nd Floor
Santa Barbara, CA 93101
0
Disclosures
32
Years of Experience
View By:
State Registrations
B
Alaska 1/5/2024
B
Nevada 1/5/2024
B
California 1/5/2024
B
New York 1/5/2024
IA
California 1/5/2024
B
Oregon 1/5/2024
B
Florida 1/5/2024
B
Tennessee 1/5/2024
B
Hawaii 1/5/2024
B
Washington 1/5/2024
B
Idaho 12/6/2024
B
West Virginia 1/5/2024
B
Michigan 1/5/2024
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 1/5/2024
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Registered with this firm since 1/5/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/03/2011 - 01/26/2024 | SAN LUIS OBISPO, CA | |
B | 01/03/2011 - 01/26/2024 | SAN LUIS OBISPO, CA | |
IA | 09/23/2003 - 01/03/2011 | MONTECITO, CA | |
B | 09/23/2003 - 01/03/2011 | MONTECITO, CA | |
IA | 05/15/2001 - 07/01/2003 | SANTA BARBARA, CA | |
B | 05/02/2001 - 07/01/2003 | SAN FRANCISCO, CA | |
B | 05/06/1999 - 05/02/2001 | SAN FRANCISCO, CA | |
B | 05/14/1997 - 05/07/1999 | SAN FRANCISCO, CA | |
B | 11/04/1992 - 05/08/1997 | 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.