Individual Firm
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THOMAS JOHN MELTZER JR.
THOMAS JOHN MELTZER JR, THOMAS JOHN (JR) MELTZER, THOS. J MELTZER, TOM MELTZER
CRD#: 1938951
IA
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MORGAN STANLEYCRD#: 149777 800 East 96th Street
Suite 400
Indianapolis, IN 46240
Suite 400
Indianapolis, IN 46240
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5/14/2003
Customer Dispute
Settled
11/26/1997
Customer Dispute
Settled
State Registrations
B
Alabama 10/24/2023
B
Michigan 6/1/2009
B
Arizona 6/1/2009
B
New Jersey 2/25/2019
B
California 6/1/2009
B
New York 6/10/2014
B
Colorado 6/1/2009
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 2/17/2021
B
Oklahoma 6/1/2009
B
Idaho 6/23/2021
B
Pennsylvania 7/12/2024
B
Illinois 6/1/2009
B
South Carolina 1/20/2023
B
Indiana 6/1/2009
B
Texas 6/1/2009
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Indiana 6/1/2009
IA
Texas 2/11/2014
B
Kentucky 9/13/2021
SRO Registrations
B
B
B
B
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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 | 12/10/2007 - 06/01/2009 | INDIANAPOLIS, IN | |
B | 12/07/2007 - 06/01/2009 | INDIANAPOLIS, IN | |
IA | 04/02/2007 - 12/11/2007 | INDIANAPOLIS, IN | |
B | 04/02/2007 - 12/11/2007 | INDIANAPOLIS, IN | |
IA | 12/16/1998 - 04/02/2007 | INDIANAPOLIS, IN | |
B | 09/24/1998 - 04/02/2007 | INDIANAPOLIS, IN | |
B | 05/27/1994 - 09/23/1998 | WEEHAWKEN, NJ | |
B | 04/18/1989 - 06/10/1994 | NEW YORK, NY |
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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.