Individual Firm
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ALTON THEODORE DAVIS JR
ALTON T DAVIS JR, ALTON T DAVIS, TED DAVIS
CRD#: 1769626
IA
B
MORGAN STANLEYCRD#: 149777 Naples, FL
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6/29/1994
Customer Dispute
Award / Judgment
State Registrations
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Alabama 10/21/2016
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Minnesota 10/17/2016
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Alaska 10/20/2016
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Mississippi 10/14/2016
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Arizona 10/14/2016
B
Missouri 10/14/2016
B
Arkansas 10/14/2016
B
Montana 10/14/2016
B
California 10/14/2016
B
Nebraska 10/14/2016
B
Colorado 10/14/2016
B
Nevada 10/14/2016
B
Connecticut 10/17/2016
B
New Jersey 10/18/2016
B
Delaware 10/14/2016
B
New Mexico 10/14/2016
B
District of Columbia 3/7/2018
B
New York 10/14/2016
B
Florida 10/14/2016
B
North Carolina 10/14/2016
IA
Florida 6/26/2019
B
North Dakota 10/14/2016
B
Georgia 10/14/2016
B
Ohio 10/14/2016
B
Hawaii 11/10/2016
B
Oklahoma 10/14/2016
B
Idaho 7/2/2024
B
Oregon 10/13/2020
B
Illinois 10/14/2016
B
Pennsylvania 10/14/2016
IA
Illinois 10/14/2016
B
Puerto Rico 10/14/2016
B
Indiana 10/25/2016
B
Rhode Island 10/17/2016
B
Iowa 10/14/2016
B
South Carolina 10/14/2016
B
Kansas 10/14/2016
B
Tennessee 10/14/2016
B
Kentucky 10/14/2016
B
Texas 10/14/2016
B
Louisiana 10/20/2016
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Texas 10/14/2016
B
Maine 3/8/2019
B
Utah 10/17/2016
B
Maryland 10/18/2016
B
Virginia 10/14/2016
B
Massachusetts 10/17/2016
B
Washington 10/14/2016
B
Michigan 10/14/2016
B
Wisconsin 10/14/2016
SRO Registrations
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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
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/28/2000 - 10/25/2016 | OAKBROOK TERRACE, IL | |
B | 11/17/2000 - 10/25/2016 | OAKBROOK TERRACE, IL | |
B | 07/31/1993 - 11/30/2000 | NEW YORK, NY | |
B | 03/11/1993 - 07/31/1993 | NEW YORK, NY | |
B | 06/13/1989 - 04/02/1993 | NEW YORK, NY | |
B | 11/25/1987 - 06/17/1989 |
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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.