Individual Firm
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ARTHUR BARRY SEGALL
CRD#: 1690733
IA
B
MORGAN STANLEYCRD#: 149777 5251 DTC Parkway
Suite 1500
Greenwood Village, CO 80111
Suite 1500
Greenwood Village, CO 80111
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6/3/2013
Customer Dispute
Denied
State Registrations
B
Arizona 6/1/2009
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New Mexico 7/28/2015
B
Colorado 6/1/2009
B
New York 6/1/2009
IA
Colorado 6/1/2009
B
North Carolina 10/3/2017
B
Florida 2/2/2017
B
South Carolina 6/5/2014
B
Minnesota 3/12/2021
IA
Texas 6/19/2017
B
Nevada 1/20/2010
B
Texas 6/20/2017
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
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | CENTENNIAL, CO | |
B | 04/02/2007 - 06/01/2009 | CENTENNIAL, CO | |
IA | 08/13/2004 - 04/02/2007 | CENTENNIAL, CO | |
B | 08/13/2004 - 04/02/2007 | CENTENNIAL, CO | |
IA | 02/11/2003 - 08/16/2004 | DENVER, CO | |
B | 02/11/2003 - 08/16/2004 | SAN FRANCISCO, CA | |
B | 08/18/2003 - 12/31/2003 | MINNEAPOLIS, MN | |
IA | 01/01/1999 - 02/03/2003 | DENVER, CO | |
B | 09/08/1989 - 02/03/2003 | PURCHASE, NY | |
B | 08/02/1989 - 09/11/1989 | DENVER, CO | |
B | 01/25/1989 - 07/29/1989 | ||
B | 03/14/1988 - 03/16/1989 | ||
B | 01/04/1988 - 03/12/1988 | ||
B | 09/24/1987 - 12/31/1987 |
01/25/1989 - 07/29/1989
09/24/1987 - 12/31/1987
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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.