Individual Firm
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STEVEN WIENER
STEVE WIENER
CRD#: 1720181
IA
B
MORGAN STANLEYCRD#: 149777 58 South Service Road
Suite 400
Melville, NY 11747
Suite 400
Melville, NY 11747
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9/5/2008
Customer Dispute
Denied
State Registrations
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 9/15/2021
IA
New Jersey 6/1/2009
B
Connecticut 6/1/2009
B
New York 6/1/2009
B
District of Columbia 6/1/2009
IA
New York 6/16/2021
B
Florida 6/1/2009
B
North Carolina 5/10/2022
B
Georgia 6/1/2009
B
Ohio 1/26/2018
B
Hawaii 2/15/2017
B
Pennsylvania 6/1/2009
B
Kentucky 6/1/2009
B
Rhode Island 1/10/2017
B
Louisiana 6/20/2018
B
South Carolina 1/26/2018
B
Maine 6/1/2009
B
Texas 4/1/2022
B
Maryland 4/18/2011
IA
Texas 4/14/2022
B
Massachusetts 9/30/2013
B
Utah 11/17/2023
B
Michigan 6/1/2009
B
Virginia 6/1/2009
B
Minnesota 6/1/2009
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 | 06/14/2007 - 06/01/2009 | MELVILLE, NY | |
B | 04/02/2007 - 06/01/2009 | MELVILLE, NY | |
B | 06/09/1995 - 04/02/2007 | MELVILLE, NY | |
B | 09/22/1987 - 06/26/1995 | 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.