Individual Firm
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STEVEN PAUL KELLER
CRD#: 1903176
IA
B
MORGAN STANLEYCRD#: 149777 401 Fremont Street
Suite 200
Monterey, CA 93940
Suite 200
Monterey, CA 93940
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10/21/2008
Customer Dispute
Denied
State Registrations
B
Arizona 11/14/2014
B
New Jersey 10/3/2014
B
California 10/3/2014
B
New Mexico 10/3/2014
IA
California 10/6/2014
B
New York 10/3/2014
B
Colorado 10/3/2014
B
North Carolina 10/3/2014
B
Connecticut 10/3/2014
B
Ohio 10/3/2014
B
Delaware 12/22/2017
B
Oregon 3/16/2017
B
District of Columbia 10/3/2014
B
Pennsylvania 10/3/2014
B
Florida 10/13/2014
B
Rhode Island 10/3/2014
B
Georgia 10/9/2014
B
South Carolina 10/3/2014
B
Illinois 10/6/2014
B
Tennessee 4/16/2024
B
Kansas 8/18/2020
B
Texas 4/13/2020
B
Maine 10/8/2014
IA
Texas 4/15/2020
B
Maryland 7/2/2018
B
Utah 8/3/2021
B
Massachusetts 10/6/2014
B
Vermont 2/16/2021
B
Michigan 9/23/2015
B
Virginia 5/13/2020
B
Nevada 6/23/2015
B
Washington 1/28/2021
B
New Hampshire 10/3/2014
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 10/6/2014
B
Registered with this firm since 10/3/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/27/2007 - 10/06/2014 | CARMEL, CA | |
B | 07/27/2007 - 10/06/2014 | CARMEL, CA | |
IA | 04/02/2007 - 07/31/2007 | MONTEREY, CA | |
B | 04/02/2007 - 07/31/2007 | MONTEREY, CA | |
IA | 01/19/2006 - 04/02/2007 | MONTEREY, CA | |
B | 01/17/1990 - 04/02/2007 | MONTEREY, CA | |
B | 12/20/1988 - 02/02/1990 | NEW YORK, NY |
NEW YORK, NY
12/20/1988 - 02/02/1990
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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.