Individual Firm
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DEBRA ANN GALIN
CRD#: 1776176
IA
B
MORGAN STANLEYCRD#: 149777 1332 Anacapa Street
2nd Floor
Santa Barbara, CA 93101
2nd Floor
Santa Barbara, CA 93101
0
Disclosures
29
Years of Experience
View By:
State Registrations
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Arizona 6/1/2009
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Michigan 9/24/2013
B
Arkansas 1/28/2022
B
Minnesota 6/1/2009
B
California 6/1/2009
B
Montana 1/5/2022
IA
California 6/1/2009
B
Nevada 11/12/2015
B
Colorado 6/1/2009
B
New Jersey 5/30/2012
B
Connecticut 1/13/2015
B
New Mexico 8/24/2022
B
Delaware 6/1/2009
B
New York 5/10/2011
B
Florida 7/2/2014
B
Ohio 3/22/2010
B
Georgia 6/1/2009
B
Oregon 6/1/2009
B
Hawaii 6/1/2009
B
Tennessee 11/19/2024
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Idaho 8/25/2009
B
Texas 6/1/2009
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Illinois 6/1/2009
IA
Texas 3/11/2020
B
Iowa 5/22/2017
B
Utah 6/1/2009
B
Kentucky 5/10/2011
B
Vermont 2/4/2022
B
Louisiana 12/18/2024
B
Washington 3/28/2014
B
Massachusetts 2/23/2012
SRO Registrations
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IA
Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/08/2000 - 06/01/2009 | SANTA BARBARA, CA | |
B | 01/24/2000 - 06/01/2009 | SANTA BARBARA, CA | |
B | 06/30/1999 - 01/25/2000 | IRVINE, CA | |
B | 05/09/1997 - 09/11/1997 | IRVINE, CA | |
B | 01/16/1992 - 05/12/1994 | NEW YORK, NY | |
B | 11/30/1990 - 11/12/1991 | OAKDALE, MN |
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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.