Individual Firm
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JAMES DAVID GARRITY
CRD#: 2005714
IA
B
MORGAN STANLEYCRD#: 149777 La Jolla, CA
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6/3/1999
Customer Dispute
Settled
State Registrations
B
Arizona 12/7/2015
B
Minnesota 11/8/2023
B
California 12/7/2015
B
Missouri 12/7/2015
IA
California 10/7/2019
B
Nevada 12/7/2015
B
Colorado 12/24/2015
B
New Hampshire 11/1/2023
B
Connecticut 12/7/2015
B
New Jersey 12/7/2015
B
Delaware 5/5/2021
B
New Mexico 10/31/2023
B
District of Columbia 12/7/2015
B
New York 12/7/2015
IA
District of Columbia 12/7/2015
B
North Carolina 12/7/2015
B
Florida 12/7/2015
B
Oregon 10/31/2023
B
Georgia 10/31/2023
B
Pennsylvania 12/7/2015
B
Idaho 10/31/2023
B
Tennessee 6/23/2020
B
Illinois 2/26/2018
B
Texas 7/2/2021
B
Kansas 10/31/2023
IA
Texas 7/7/2021
B
Maine 10/31/2023
B
Utah 12/7/2015
B
Maryland 12/7/2015
IA
Utah 10/4/2023
B
Massachusetts 12/7/2015
B
Virginia 12/7/2015
B
Michigan 11/6/2023
IA
Virginia 2/14/2022
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 12/7/2015
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Registered with this firm since 12/7/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/17/2003 - 12/21/2015 | WASHINGTON, DC | |
B | 01/17/2003 - 12/21/2015 | WASHINGTON, DC | |
IA | 11/27/2001 - 01/17/2003 | WASHINGTON, DC | |
B | 03/02/2000 - 01/17/2003 | JERSEY CITY, NJ | |
B | 11/22/1989 - 03/17/2000 | NEW YORK, NY |
WASHINGTON, DC
11/27/2001 - 01/17/2003
JERSEY CITY, NJ
03/02/2000 - 01/17/2003
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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.