Individual Firm
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JOSEPH ROBERT LOEFFLER
JOE LOEFFLER
CRD#: 1691925
IA
B
MORGAN STANLEYCRD#: 149777 456 WEST FOOTHILL BLVD
CLAREMONT, CA 91711
CLAREMONT, CA 91711
0
Disclosures
35
Years of Experience
View By:
State Registrations
B
Alaska 11/11/2022
B
Montana 6/1/2009
B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
Arkansas 2/23/2022
B
New York 11/21/2019
B
California 6/1/2009
B
North Carolina 5/27/2022
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California 6/1/2009
B
North Dakota 3/9/2023
B
Colorado 9/22/2020
B
Ohio 6/1/2009
B
Connecticut 6/1/2009
B
Oregon 6/1/2009
B
Florida 6/1/2009
B
Tennessee 2/14/2022
B
Georgia 1/9/2020
B
Texas 6/1/2009
B
Hawaii 6/1/2009
IA
Texas 6/1/2009
B
Idaho 6/1/2009
B
Utah 3/3/2016
B
Illinois 6/1/2009
B
Virginia 11/5/2014
B
Iowa 5/6/2022
B
Washington 6/1/2009
B
Michigan 6/1/2009
B
Wyoming 6/1/2009
B
Minnesota 7/15/2013
SRO Registrations
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B
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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 | REDLANDS, CA | |
B | 04/02/2007 - 06/01/2009 | REDLANDS, CA | |
IA | 07/08/1997 - 04/02/2007 | REDLANDS, CA | |
B | 06/07/1991 - 04/02/2007 | REDLANDS, CA | |
B | 01/30/1990 - 02/06/1991 | PHOENIX, AZ | |
B | 06/23/1987 - 02/23/1988 |
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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.