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Detailed Report
JOHN EMERSON MORRISON IV
CRD#: 1991304
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2000 Westchester Avenue
1NC
Purchase, NY 10577
Registration History
199019952000200520102015202020252 FIRMS1995 - 2003 (7 years)2 FIRMS2003 - 2009 (6 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BSMITH BARNEY INC. (CRD# 7059)1994 - 1995 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1992 - 1994 (2 years)BHIBBARD BROWN & CO., INC. (CRD# 18246)1989 - 1992 (2 years)
Disclosure(s)
View By:
7/21/1998
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 3/10/2022
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New Mexico 6/1/2009
B
Colorado 6/2/2011
B
New York 6/1/2009
B
Connecticut 6/1/2009
IA
New York 6/16/2021
IA
Connecticut 2/16/2022
B
North Carolina 6/1/2009
B
Delaware 1/11/2011
B
Ohio 6/30/2022
B
District of Columbia 6/1/2009
B
Oregon 1/3/2011
B
Florida 6/1/2009
B
Pennsylvania 6/1/2009
B
Georgia 1/8/2020
B
Rhode Island 6/1/2009
B
Hawaii 11/6/2019
B
South Carolina 2/2/2015
B
Illinois 4/14/2020
B
South Dakota 5/17/2024
B
Louisiana 10/17/2022
B
Tennessee 6/12/2013
B
Maine 6/1/2009
B
Texas 6/1/2009
B
Maryland 6/1/2009
IA
Texas 6/1/2009
B
Massachusetts 6/1/2009
B
Vermont 1/2/2020
B
Michigan 1/14/2020
B
Virginia 6/1/2009
B
Mississippi 6/1/2009
B
Washington 1/6/2011
B
New Hampshire 6/12/2013

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
2000 Westchester Avenue 1NC, Purchase, NY 10577
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
2000 Westchester Avenue 1NC, Purchase, NY 10577
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/11/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PURCHASE, NY
B
 02/11/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PURCHASE, NY
IA
 01/03/2003 - 02/24/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) WHITE PLAINS, NY
B
 01/03/2003 - 02/24/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) WHITE PLAINS, NY
IA
 07/17/1995 - 01/16/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) MT KISCO, NY
B
 07/12/1995 - 01/16/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 05/02/1994 - 07/21/1995 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 02/14/1992 - 05/04/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 10/25/1989 - 02/04/1992 HIBBARD BROWN & CO., INC. (CRD#:18246)
FINRA expelled the firm on 02/22/1996
NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.