Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
THOMAS SCOTT CARNS JR
TOM CARNS
CRD#: 1661549
IA
B
MORGAN STANLEYCRD#: 149777 7755 Montgomery Road
2Nd Floor
Cincinnati, OH 45236
2Nd Floor
Cincinnati, OH 45236
View By:
1/11/2013
Customer Dispute
Denied
5/13/2009
Customer Dispute
Settled
10/25/2004
Customer Dispute
Denied
2/18/2003
Customer Dispute
Settled
2/25/2002
Customer Dispute
Settled
3/9/2001
Customer Dispute
Denied
10/3/2000
Customer Dispute
Denied
6/24/1993
Customer Dispute
Settled
State Registrations
B
Alabama 8/7/2019
B
Montana 5/18/2017
B
Arizona 3/4/2019
B
Nebraska 5/17/2017
B
California 6/1/2009
B
Nevada 6/1/2009
B
Colorado 1/10/2014
B
New Jersey 6/8/2016
B
Connecticut 6/1/2009
B
New York 6/1/2009
B
District of Columbia 6/1/2009
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 6/1/2009
IA
Ohio 6/1/2009
B
Hawaii 11/16/2022
B
Oregon 3/12/2020
B
Illinois 6/1/2009
B
Pennsylvania 6/1/2009
B
Indiana 6/1/2009
B
South Carolina 6/24/2014
B
Iowa 6/1/2009
B
South Dakota 7/6/2020
B
Kansas 6/1/2009
B
Tennessee 2/23/2021
B
Kentucky 6/1/2009
B
Texas 6/1/2009
B
Maine 6/1/2009
IA
Texas 6/1/2009
B
Maryland 6/1/2009
B
Utah 4/30/2012
B
Massachusetts 4/16/2020
B
Virgin Islands 3/17/2022
B
Michigan 10/13/2009
B
Virginia 6/1/2009
B
Minnesota 9/9/2019
B
Washington 6/1/2009
B
Missouri 6/1/2009
B
West Virginia 3/9/2023
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
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 | CINCINNATI, OH | |
B | 04/02/2007 - 06/01/2009 | CINCINNATI, OH | |
IA | 05/13/1999 - 04/02/2007 | CINCINNATI, OH | |
B | 10/24/1990 - 04/02/2007 | CINCINNATI, OH | |
B | 05/21/1987 - 10/02/1990 | CINCINNATI, OH |
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.