Individual Firm
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APRIL LATIMER HERON
APRIL LATIMER D, APRIL LATIMER DZUBACK
CRD#: 1901227
IA
B
MORGAN STANLEYCRD#: 149777 Palo Alto, CA
View By:
10/29/2012
Customer Dispute
Denied
2/27/2008
Customer Dispute
Settled
4/17/2002
Customer Dispute
Denied
State Registrations
B
Alabama 11/18/2021
B
Nevada 6/1/2009
B
Alaska 1/13/2016
B
New Hampshire 8/27/2020
B
Arizona 6/1/2009
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New Mexico 4/22/2024
IA
California 6/1/2009
B
New York 6/1/2009
B
Colorado 6/1/2009
B
North Carolina 1/6/2011
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 6/1/2009
B
Oregon 6/1/2009
B
Hawaii 6/1/2009
B
Pennsylvania 6/27/2022
B
Idaho 6/1/2009
B
Rhode Island 6/1/2022
B
Kentucky 4/10/2024
B
South Carolina 6/2/2021
B
Louisiana 10/10/2019
B
Tennessee 6/1/2009
B
Maine 6/1/2009
B
Texas 6/1/2009
B
Massachusetts 6/1/2009
IA
Texas 3/3/2020
B
Michigan 3/19/2010
B
Virginia 6/1/2009
B
Minnesota 1/30/2015
B
Washington 6/1/2009
B
Missouri 6/1/2009
B
Wisconsin 6/22/2023
B
Montana 2/22/2022
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
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/31/2001 - 06/01/2009 | MENLO PARK, CA | |
B | 01/22/1999 - 06/01/2009 | MENLO PARK, CA | |
B | 02/22/1994 - 01/27/1999 | ST. LOUIS, MO | |
B | 11/23/1988 - 02/24/1994 | ROCHESTER, NY |
ROCHESTER, NY
11/23/1988 - 02/24/1994
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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.