Individual Firm
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JOSEPH JAMES MATTHEWS
JOSEPH JAMES MATTHEWS JR
CRD#: 1786033
IA
B
MORGAN STANLEYCRD#: 149777 1229 Post Road
Fairfield, CT 06824
Fairfield, CT 06824
View By:
3/5/2008
Customer Dispute
Denied
State Registrations
B
Alabama 4/29/2022
B
Nebraska 1/27/2012
B
Alaska 4/29/2022
B
Nevada 1/27/2012
B
Arizona 2/21/2019
B
New Hampshire 3/6/2019
B
Arkansas 1/27/2012
B
New Jersey 1/27/2012
B
California 1/27/2012
B
New Mexico 1/27/2012
B
Colorado 2/20/2020
B
New York 1/27/2012
B
Connecticut 1/27/2012
B
North Carolina 1/31/2012
IA
Connecticut 1/27/2012
B
North Dakota 1/27/2012
B
Delaware 1/27/2012
B
Ohio 5/27/2022
B
District of Columbia 1/27/2012
B
Oklahoma 5/25/2022
B
Florida 1/27/2012
B
Oregon 1/27/2012
B
Georgia 1/27/2012
B
Pennsylvania 1/27/2012
B
Hawaii 5/21/2020
B
Puerto Rico 1/27/2012
B
Idaho 1/27/2012
B
Rhode Island 1/27/2012
B
Illinois 1/27/2012
B
South Carolina 1/27/2012
B
Indiana 1/27/2012
B
South Dakota 1/27/2012
B
Iowa 5/25/2022
B
Tennessee 7/15/2019
B
Kansas 6/24/2021
B
Texas 1/27/2012
B
Kentucky 5/25/2022
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Texas 3/13/2012
B
Louisiana 5/25/2022
B
Utah 1/27/2012
B
Maine 1/27/2012
B
Vermont 1/27/2012
B
Maryland 5/25/2022
B
Virgin Islands 5/25/2022
B
Massachusetts 1/27/2012
B
Virginia 1/27/2012
B
Michigan 10/24/2019
B
Washington 1/27/2012
B
Minnesota 1/27/2012
B
West Virginia 5/25/2022
B
Mississippi 1/27/2012
B
Wisconsin 1/27/2012
B
Missouri 4/29/2022
B
Wyoming 4/16/2019
B
Montana 6/15/2021
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 1/27/2012
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Registered with this firm since 1/27/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/14/2001 - 01/31/2012 | WESTPORT, CT | |
B | 11/13/2001 - 01/31/2012 | WESTPORT, CT | |
B | 10/09/1996 - 11/08/2001 | NEW YORK, NY | |
B | 08/23/1988 - 10/03/1996 | WEEHAWKEN, NJ |
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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.