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JASON DAVID BERNSTEIN
CRD#: 1762286
IA
B
MORGAN STANLEYCRD#: 149777 1330 Post Oak Boulevard
Suite 900
Houston, TX 77056
Suite 900
Houston, TX 77056
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11/7/1995
Customer Dispute
Settled
10/30/1995
Employment Separation After Allegations
11/13/1992
Customer Dispute
Settled
12/3/1991
Customer Dispute
Settled
6/24/1979
Criminal
Final Disposition
State Registrations
B
Alabama 8/15/2013
B
Missouri 8/15/2013
B
Alaska 8/15/2013
B
Montana 8/15/2013
B
Arizona 8/15/2013
B
Nebraska 8/15/2013
B
Arkansas 8/15/2013
B
Nevada 8/15/2013
B
California 8/15/2013
B
New Jersey 8/15/2013
B
Colorado 8/15/2013
B
New Mexico 8/15/2013
B
Delaware 8/15/2019
B
New York 8/15/2013
B
District of Columbia 8/15/2013
B
North Carolina 8/15/2013
B
Florida 8/15/2013
B
Ohio 8/15/2013
B
Georgia 8/15/2013
B
Oklahoma 8/15/2013
B
Idaho 8/15/2013
B
Oregon 8/15/2013
B
Illinois 8/15/2013
B
Pennsylvania 8/15/2013
B
Indiana 8/15/2013
B
South Carolina 8/15/2013
B
Iowa 8/15/2013
B
Tennessee 4/5/2018
B
Kansas 8/15/2013
B
Texas 8/15/2013
B
Kentucky 8/15/2013
IA
Texas 8/15/2013
B
Louisiana 8/15/2013
B
Utah 6/16/2021
B
Maryland 8/15/2013
B
Virginia 8/15/2013
B
Massachusetts 8/15/2013
B
Washington 8/15/2013
B
Michigan 8/15/2013
B
West Virginia 8/15/2013
B
Minnesota 8/15/2013
B
Wisconsin 8/15/2013
B
Mississippi 8/15/2013
B
Wyoming 8/15/2013
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 8/15/2013
B
Registered with this firm since 8/15/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/13/2013 - 08/19/2013 | HOUSTON, TX | |
B | 02/13/2013 - 08/19/2013 | HOUSTON, TX | |
IA | 11/22/1995 - 02/13/2013 | HOUSTON, TX | |
B | 11/20/1995 - 02/13/2013 | HOUSTON, TX | |
B | 06/30/1992 - 11/06/1995 | WEEHAWKEN, NJ | |
B | 11/25/1987 - 07/10/1992 | 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.