Individual Firm
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KENNETH ANDREW MARCUS
KEN MARCUS
CRD#: 1830810
IA
B
MORGAN STANLEYCRD#: 149777 1400 Page Mill Road
Palo Alto, CA 94304
Palo Alto, CA 94304
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10/15/1999
Customer Dispute
Settled
3/3/1999
Employment Separation After Allegations
6/22/1998
Customer Dispute
Denied
7/30/1997
Customer Dispute
Settled
State Registrations
B
Alaska 9/16/2020
B
Mississippi 9/4/2020
B
Arizona 9/4/2020
B
Montana 9/8/2020
B
California 9/4/2020
B
Nevada 9/18/2020
IA
California 9/4/2020
B
New Hampshire 10/25/2023
B
Colorado 9/4/2020
B
New Jersey 10/24/2023
B
Connecticut 9/4/2020
B
New Mexico 10/24/2023
B
Florida 9/4/2020
B
New York 9/4/2020
B
Georgia 9/4/2020
B
North Carolina 9/4/2020
B
Hawaii 9/8/2020
B
Oklahoma 9/4/2020
B
Idaho 9/4/2020
B
Oregon 9/4/2020
B
Illinois 4/21/2022
B
Pennsylvania 9/4/2020
B
Iowa 9/4/2020
B
Rhode Island 9/8/2020
B
Kentucky 9/4/2020
B
Texas 9/4/2020
B
Maine 1/26/2022
IA
Texas 9/4/2020
B
Massachusetts 9/8/2020
B
Utah 9/4/2020
B
Michigan 10/26/2023
B
Virginia 9/8/2020
B
Minnesota 9/4/2020
B
Washington 9/4/2020
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 9/4/2020
B
Registered with this firm since 9/4/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/01/2008 - 09/08/2020 | SAN JOSE, CA | |
B | 01/01/2008 - 09/08/2020 | SAN JOSE, CA | |
B | 04/14/1999 - 01/03/2008 | SAN JOSE, CA | |
IA | 03/29/2001 - 01/01/2008 | SAN JOSE, CA | |
B | 07/31/1993 - 03/10/1999 | NEW YORK, NY | |
B | 07/11/1989 - 07/31/1993 | NEW YORK, NY | |
B | 06/10/1988 - 05/09/1989 |
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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.