Individual Firm
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KEN BROZKI
CRD#: 1714841
IA
B
MORGAN STANLEYCRD#: 149777 15260 Ventura Boulevard
Suite 1900
Sherman Oaks, CA 91403
Suite 1900
Sherman Oaks, CA 91403
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9/12/2008
Customer Dispute
Settled
7/19/2007
Customer Dispute
Settled
3/23/2007
Customer Dispute
Settled
7/25/2002
Customer Dispute
Settled
State Registrations
B
Alabama 4/6/2017
B
Missouri 6/1/2009
B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Jersey 6/1/2009
IA
California 6/1/2009
B
New Mexico 11/1/2019
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Connecticut 6/1/2009
B
North Carolina 8/23/2017
B
District of Columbia 8/17/2017
B
Oregon 6/1/2009
B
Florida 6/1/2009
B
Pennsylvania 9/23/2010
B
Georgia 2/15/2017
B
South Carolina 7/23/2019
B
Hawaii 1/25/2018
B
Tennessee 6/1/2009
B
Idaho 4/5/2013
B
Texas 6/1/2009
B
Illinois 9/22/2016
IA
Texas 9/12/2018
B
Indiana 4/25/2018
B
Utah 11/4/2019
B
Maine 2/16/2022
B
Virginia 11/1/2019
B
Maryland 12/11/2018
B
Washington 6/1/2009
B
Massachusetts 11/20/2018
B
Wyoming 10/8/2020
SRO Registrations
B
B
B
B
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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 | GLENDALE, CA | |
B | 04/02/2007 - 06/01/2009 | GLENDALE, CA | |
IA | 07/08/1997 - 04/02/2007 | GLENDALE, CA | |
B | 11/30/1988 - 04/02/2007 | GLENDALE, CA | |
B | 09/22/1987 - 12/03/1988 | LOS ANGELES, CA |
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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.