Individual Firm
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MICHAEL ENGLE PEACOCK
CRD#: 1720299
IA
B
MORGAN STANLEYCRD#: 149777 777 South Flagler Drive
Suite 700E
West Palm Beach, FL 33401
Suite 700E
West Palm Beach, FL 33401
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12/1/2010
Customer Dispute
Settled
1/30/2009
Customer Dispute
Denied
4/6/2004
Customer Dispute
Settled
4/1/1991
Customer Dispute
Settled
State Registrations
B
Alabama 10/20/2016
B
New Hampshire 9/23/2016
B
Arizona 9/23/2016
B
New Jersey 9/23/2016
B
Arkansas 1/24/2017
B
New York 9/23/2016
B
California 9/26/2016
B
North Carolina 9/23/2016
B
Colorado 11/2/2016
B
Ohio 9/23/2016
B
Connecticut 9/23/2016
B
Oklahoma 9/30/2016
B
Delaware 9/23/2016
B
Oregon 10/10/2016
B
District of Columbia 9/23/2016
B
Pennsylvania 9/23/2016
B
Florida 9/23/2016
B
South Carolina 9/29/2016
IA
Florida 9/27/2016
B
South Dakota 5/15/2023
B
Georgia 9/23/2016
B
Tennessee 9/23/2016
B
Illinois 9/26/2016
B
Texas 9/23/2016
B
Indiana 10/7/2016
IA
Texas 9/23/2016
B
Kentucky 9/23/2016
B
Vermont 10/2/2023
B
Louisiana 9/23/2016
B
Virginia 9/23/2016
B
Maine 9/28/2016
B
Washington 10/4/2016
B
Maryland 9/23/2016
B
West Virginia 9/23/2016
B
Massachusetts 10/18/2016
B
Wisconsin 9/23/2016
B
Michigan 9/23/2016
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 9/23/2016
B
Registered with this firm since 9/23/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/28/2007 - 10/03/2016 | WEST PALM BEACH, FL | |
B | 02/15/2007 - 10/03/2016 | WEST PALM BEACH, FL | |
B | 05/22/1989 - 03/06/2007 | NEW YORK, NY | |
B | 09/20/1988 - 05/22/1989 |
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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.